401k Plan data: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN plan

CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 401k Plan overview

Plan Name	CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN
Plan identification number	002

CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN Benefits

401k Plan Type	Defined Contribution Pension
Plan Features/Benefits	Stock bonus ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP). Leveraged ESOP - An ESOP that acquires employer securities with borrowed money or other debt-financing techniques. A completed Schedule E must be attached to a Form 5500 filed for an ESOP. The employer maintaining this ESOP is an S Corporation

401k Sponsoring company profile

THE CALDWELL GROUP, INC. has sponsored the creation of one or more 401k plans.

Company Name: THE CALDWELL GROUP, INC.

Employer identification number (EIN): 362896884

NAIC Classification: 332900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2023-01-01
002 2022-01-01
002 2021-01-01
002 2020-01-01
002 2019-01-01
002 2018-01-01
002 2017-01-01 JOHN KUNTZE
002 2016-01-01 JOHN KUNTZE
002 2015-01-01 JOHN KUNTZE
002 2014-01-01 JOHN KUNTZE
002 2013-01-01 RICHARD HAGER
002 2012-01-01 RICHARD HAGER
002 2011-01-01 RUTH L. KELLEY RUTH L. KELLEY 2012-07-11
002 2009-01-01 RUTH L. KELLEY RUTH L. KELLEY 2010-07-09

Plan Statistics for CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN

401k plan membership statisitcs for CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN

Measure Date Value
2023: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2023 401k membership
Total participants, beginning-of-year 2023-01-01 99
Total number of active participants reported on line 7a of the Form 5500 2023-01-01 0
Number of retired or separated participants receiving benefits 2023-01-01 0
Number of other retired or separated participants entitled to future benefits 2023-01-01 0
Total of all active and inactive participants 2023-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2023-01-01 0
Total participants 2023-01-01 0
Number of participants with account balances 2023-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2023-01-01 0
2022: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 115
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 78
Number of retired or separated participants receiving benefits 2022-01-01 7
Number of other retired or separated participants entitled to future benefits 2022-01-01 13
Total of all active and inactive participants 2022-01-01 98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 1
Total participants 2022-01-01 99
Number of participants with account balances 2022-01-01 53
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 197
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 88
Number of retired or separated participants receiving benefits 2021-01-01 2
Number of other retired or separated participants entitled to future benefits 2021-01-01 19
Total of all active and inactive participants 2021-01-01 109
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 1
Total participants 2021-01-01 110
Number of participants with account balances 2021-01-01 109
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 3
2020: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 193
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 81
Number of retired or separated participants receiving benefits 2020-01-01 71
Number of other retired or separated participants entitled to future benefits 2020-01-01 36
Total of all active and inactive participants 2020-01-01 188
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 1
Total participants 2020-01-01 189
Number of participants with account balances 2020-01-01 189
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 6
2019: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 179
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 91
Number of retired or separated participants receiving benefits 2019-01-01 52
Number of other retired or separated participants entitled to future benefits 2019-01-01 38
Total of all active and inactive participants 2019-01-01 181
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 1
Total participants 2019-01-01 182
Number of participants with account balances 2019-01-01 181
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 5
2018: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 165
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 86
Number of retired or separated participants receiving benefits 2018-01-01 52
Number of other retired or separated participants entitled to future benefits 2018-01-01 31
Total of all active and inactive participants 2018-01-01 169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 1
Total participants 2018-01-01 170
Number of participants with account balances 2018-01-01 170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 3
2017: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 170
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 80
Number of retired or separated participants receiving benefits 2017-01-01 36
Number of other retired or separated participants entitled to future benefits 2017-01-01 44
Total of all active and inactive participants 2017-01-01 160
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 161
Number of participants with account balances 2017-01-01 161
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 30
2016: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 147
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 113
Number of retired or separated participants receiving benefits 2016-01-01 28
Number of other retired or separated participants entitled to future benefits 2016-01-01 20
Total of all active and inactive participants 2016-01-01 161
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 1
Total participants 2016-01-01 162
Number of participants with account balances 2016-01-01 161
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 17
2015: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 139
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 105
Number of retired or separated participants receiving benefits 2015-01-01 14
Number of other retired or separated participants entitled to future benefits 2015-01-01 14
Total of all active and inactive participants 2015-01-01 133
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 1
Total participants 2015-01-01 134
Number of participants with account balances 2015-01-01 134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 2
2014: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 90
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 69
Number of retired or separated participants receiving benefits 2014-01-01 6
Number of other retired or separated participants entitled to future benefits 2014-01-01 19
Total of all active and inactive participants 2014-01-01 94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 94
Number of participants with account balances 2014-01-01 94
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 2
2013: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 73
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 71
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 10
Total of all active and inactive participants 2013-01-01 81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 81
Number of participants with account balances 2013-01-01 79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 9
2012: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 60
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 61
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 4
Total of all active and inactive participants 2012-01-01 65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 65
Number of participants with account balances 2012-01-01 65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 2
2011: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 64
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 56
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 4
Total of all active and inactive participants 2011-01-01 60
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 60
Number of participants with account balances 2011-01-01 60
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2009: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 73
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 61
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 7
Total of all active and inactive participants 2009-01-01 68
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 68
Number of participants with account balances 2009-01-01 66
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 6

Measure	Date	Value
2023: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2023 401k membership
Total participants, beginning-of-year	2023-01-01	99
Total number of active participants reported on line 7a of the Form 5500	2023-01-01	0
Number of retired or separated participants receiving benefits	2023-01-01	0
Number of other retired or separated participants entitled to future benefits	2023-01-01	0
Total of all active and inactive participants	2023-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2023-01-01	0
Total participants	2023-01-01	0
Number of participants with account balances	2023-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2023-01-01	0
2022: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	115
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	78
Number of retired or separated participants receiving benefits	2022-01-01	7
Number of other retired or separated participants entitled to future benefits	2022-01-01	13
Total of all active and inactive participants	2022-01-01	98
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	1
Total participants	2022-01-01	99
Number of participants with account balances	2022-01-01	53
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	197
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	88
Number of retired or separated participants receiving benefits	2021-01-01	2
Number of other retired or separated participants entitled to future benefits	2021-01-01	19
Total of all active and inactive participants	2021-01-01	109
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	1
Total participants	2021-01-01	110
Number of participants with account balances	2021-01-01	109
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	3
2020: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	193
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	81
Number of retired or separated participants receiving benefits	2020-01-01	71
Number of other retired or separated participants entitled to future benefits	2020-01-01	36
Total of all active and inactive participants	2020-01-01	188
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	1
Total participants	2020-01-01	189
Number of participants with account balances	2020-01-01	189
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	6
2019: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	179
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	91
Number of retired or separated participants receiving benefits	2019-01-01	52
Number of other retired or separated participants entitled to future benefits	2019-01-01	38
Total of all active and inactive participants	2019-01-01	181
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	1
Total participants	2019-01-01	182
Number of participants with account balances	2019-01-01	181
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	5
2018: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	165
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	86
Number of retired or separated participants receiving benefits	2018-01-01	52
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	169
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	1
Total participants	2018-01-01	170
Number of participants with account balances	2018-01-01	170
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	3
2017: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	170
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	80
Number of retired or separated participants receiving benefits	2017-01-01	36
Number of other retired or separated participants entitled to future benefits	2017-01-01	44
Total of all active and inactive participants	2017-01-01	160
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	161
Number of participants with account balances	2017-01-01	161
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	30
2016: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	147
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	113
Number of retired or separated participants receiving benefits	2016-01-01	28
Number of other retired or separated participants entitled to future benefits	2016-01-01	20
Total of all active and inactive participants	2016-01-01	161
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	1
Total participants	2016-01-01	162
Number of participants with account balances	2016-01-01	161
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	17
2015: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	139
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	105
Number of retired or separated participants receiving benefits	2015-01-01	14
Number of other retired or separated participants entitled to future benefits	2015-01-01	14
Total of all active and inactive participants	2015-01-01	133
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	1
Total participants	2015-01-01	134
Number of participants with account balances	2015-01-01	134
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	2
2014: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	90
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	69
Number of retired or separated participants receiving benefits	2014-01-01	6
Number of other retired or separated participants entitled to future benefits	2014-01-01	19
Total of all active and inactive participants	2014-01-01	94
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	94
Number of participants with account balances	2014-01-01	94
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	2
2013: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	73
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	71
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	10
Total of all active and inactive participants	2013-01-01	81
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	81
Number of participants with account balances	2013-01-01	79
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	9
2012: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	60
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	61
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	4
Total of all active and inactive participants	2012-01-01	65
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	65
Number of participants with account balances	2012-01-01	65
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	2
2011: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	64
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	56
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	4
Total of all active and inactive participants	2011-01-01	60
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	60
Number of participants with account balances	2011-01-01	60
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2009: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	73
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	61
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	7
Total of all active and inactive participants	2009-01-01	68
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	68
Number of participants with account balances	2009-01-01	66
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	6

Financial Data on CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN

Measure	Date	Value
2023 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2023 401k financial data
Total plan liabilities at end of year	2023-11-30	$0
Total plan liabilities at beginning of year	2023-11-30	$100
Total income from all sources	2023-11-30	$0
Expenses. Total of all expenses incurred	2023-11-30	$855,328
Benefits paid (including direct rollovers)	2023-11-30	$855,328
Total plan assets at end of year	2023-11-30	$0
Total plan assets at beginning of year	2023-11-30	$855,428
Value of fidelity bond covering the plan	2023-11-30	$1,000,000
Net income (gross income less expenses)	2023-11-30	$-855,328
Net plan assets at end of year (total assets less liabilities)	2023-11-30	$0
Net plan assets at beginning of year (total assets less liabilities)	2023-11-30	$855,328
Assets. Value of employer securities	2023-11-30	$0
2022 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2022 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2022-12-31	$345,477
Total unrealized appreciation/depreciation of assets	2022-12-31	$345,477
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$100
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$99
Total income from all sources (including contributions)	2022-12-31	$345,477
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$1,043,709
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$1,043,709
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$0
Value of total assets at end of year	2022-12-31	$855,428
Value of total assets at beginning of year	2022-12-31	$1,553,659
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$0
Total interest from all sources	2022-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$0
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2022-12-31	$100
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2022-12-31	$99
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-698,232
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$855,328
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$1,553,560
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2022-12-31	$100
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2022-12-31	$100
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2022-12-31	$100
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Assets. Invements in employer securities at end of year	2022-12-31	$855,328
Assets. Invements in employer securities at beginning of year	2022-12-31	$1,553,559
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$1,043,709
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	BENNING GROUP LLC
Accountancy firm EIN	2022-12-31	300003878
2021 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2021 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2021-12-31	$-27,375
Total unrealized appreciation/depreciation of assets	2021-12-31	$-27,375
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$99
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$100,000
Total income from all sources (including contributions)	2021-12-31	$-27,375
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$5,229,349
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$5,229,349
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$0
Value of total assets at end of year	2021-12-31	$1,553,659
Value of total assets at beginning of year	2021-12-31	$6,910,284
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$0
Total interest from all sources	2021-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$0
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$1,000,000
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
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2021-12-31	$99
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2021-12-31	$100,000
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	$-5,256,724
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$1,553,560
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$6,810,284
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 bearing cash (including money market accounts and certificates of deposits) at end of year	2021-12-31	$100
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2021-12-31	$100,100
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2021-12-31	$100,100
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
Assets. Invements in employer securities at end of year	2021-12-31	$1,553,559
Assets. Invements in employer securities at beginning of year	2021-12-31	$6,810,184
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$5,229,349
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	BENNING GROUP LLC
Accountancy firm EIN	2021-12-31	300003878
2020 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2020 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2020-12-31	$-1,390,171
Total unrealized appreciation/depreciation of assets	2020-12-31	$-1,390,171
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$100,000
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	$-1,390,171
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$550,273
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$550,273
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$0
Value of total assets at end of year	2020-12-31	$6,910,284
Value of total assets at beginning of year	2020-12-31	$8,750,728
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$0
Total interest from all sources	2020-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$0
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$1,000,000
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
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-12-31	$100,000
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) 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	$-1,940,444
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$6,810,284
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$8,750,728
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 bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$100,100
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$100
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$100
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
Assets. Invements in employer securities at end of year	2020-12-31	$6,810,184
Assets. Invements in employer securities at beginning of year	2020-12-31	$8,750,628
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$550,273
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	Unqualified
Accountancy firm name	2020-12-31	BENNING GROUP LLC
Accountancy firm EIN	2020-12-31	300003878
2019 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2019 401k financial data
Unrealized appreciation/depreciation of real estate assets	2019-12-31	$-1,407,318
Unrealized appreciation/depreciation of real estate assets	2019-12-31	$-1,407,318
Total unrealized appreciation/depreciation of assets	2019-12-31	$-1,407,318
Total unrealized appreciation/depreciation of assets	2019-12-31	$-1,407,318
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	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	$282,158
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$282,158
Expenses. Interest paid	2019-12-31	$4,768
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2019-12-31	$4,768
Expenses. Interest paid	2019-12-31	$4,768
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2019-12-31	$4,768
Total income from all sources (including contributions)	2019-12-31	$-1,120,392
Total loss/gain on sale of assets	2019-12-31	$0
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$384,865
Total of all expenses incurred	2019-12-31	$384,865
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$380,097
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$380,097
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$286,926
Value of total assets at end of year	2019-12-31	$8,750,728
Value of total assets at end of year	2019-12-31	$8,750,728
Value of total assets at beginning of year	2019-12-31	$10,538,143
Value of total assets at beginning of year	2019-12-31	$10,538,143
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$0
Total interest from all sources	2019-12-31	$0
Total interest from all sources	2019-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Was this plan covered by a fidelity bond	2019-12-31	Yes
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$1,000,000
Value of fidelity bond cover	2019-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
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
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$282,158
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$282,158
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
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	$-1,505,257
Value of net income/loss	2019-12-31	$-1,505,257
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$8,750,728
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$8,750,728
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$10,255,985
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$10,255,985
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
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 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
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$100
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$100
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$100
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$100
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$100
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$100
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
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
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
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Assets. Invements in employer securities at end of year	2019-12-31	$8,750,628
Assets. Invements in employer securities at end of year	2019-12-31	$8,750,628
Assets. Invements in employer securities at beginning of year	2019-12-31	$10,538,043
Assets. Invements in employer securities at beginning of year	2019-12-31	$10,538,043
Contributions received in cash from employer	2019-12-31	$286,926
Contributions received in cash from employer	2019-12-31	$286,926
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$380,097
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$380,097
Did the plan have assets held for investment	2019-12-31	Yes
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
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
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
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	No
Opinion of an independent qualified public accountant for this plan	2019-12-31	Unqualified
Opinion of an independent qualified public accountant for this plan	2019-12-31	Unqualified
Accountancy firm name	2019-12-31	BENNING GROUP LLC
Accountancy firm name	2019-12-31	BENNING GROUP LLC
Accountancy firm EIN	2019-12-31	300003878
2018 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2018 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$1,125,264
Total unrealized appreciation/depreciation of assets	2018-12-31	$1,125,264
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$282,158
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$818,342
Expenses. Interest paid	2018-12-31	$22,717
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	$22,717
Total income from all sources (including contributions)	2018-12-31	$1,684,165
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$294,934
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$272,217
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$558,901
Value of total assets at end of year	2018-12-31	$10,538,143
Value of total assets at beginning of year	2018-12-31	$9,685,096
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$0
Total interest from all sources	2018-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,000,000
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
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2018-12-31	$282,158
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$818,342
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	$1,389,231
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$10,255,985
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$8,866,754
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
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$100
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$100
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$100
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
Assets. Invements in employer securities at end of year	2018-12-31	$10,538,043
Assets. Invements in employer securities at beginning of year	2018-12-31	$9,684,996
Contributions received in cash from employer	2018-12-31	$558,901
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$272,217
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
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	No
Opinion of an independent qualified public accountant for this plan	2018-12-31	Unqualified
Accountancy firm name	2018-12-31	BENNING GROUP LLC
Accountancy firm EIN	2018-12-31	300003878
2017 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2017 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2017-12-31	$733,703
Total unrealized appreciation/depreciation of assets	2017-12-31	$733,703
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$818,342
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$1,340,224
Expenses. Interest paid	2017-12-31	$40,085
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2017-12-31	$40,085
Total income from all sources (including contributions)	2017-12-31	$1,292,604
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$315,789
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$275,704
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$558,901
Value of total assets at end of year	2017-12-31	$9,685,096
Value of total assets at beginning of year	2017-12-31	$9,230,163
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$0
Total interest from all sources	2017-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$0
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$818,342
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-12-31	$1,337,158
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$976,815
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$8,866,754
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$7,889,939
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$100
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$3,166
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$3,166
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Assets. Invements in employer securities at end of year	2017-12-31	$9,684,996
Assets. Invements in employer securities at beginning of year	2017-12-31	$9,226,997
Contributions received in cash from employer	2017-12-31	$558,901
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$275,704
Liabilities. Value of benefit claims payable at end of year	2017-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2017-12-31	$3,066
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	No
Opinion of an independent qualified public accountant for this plan	2017-12-31	Unqualified
Accountancy firm name	2017-12-31	BENNING GROUP LLC
Accountancy firm EIN	2017-12-31	300003878
2016 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2016 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$-2,245,000
Total unrealized appreciation/depreciation of assets	2016-12-31	$-2,245,000
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$1,340,224
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$1,839,157
Expenses. Interest paid	2016-12-31	$56,903
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2016-12-31	$56,903
Total income from all sources (including contributions)	2016-12-31	$-1,324,299
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$436,604
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$379,701
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$920,701
Value of total assets at end of year	2016-12-31	$9,230,163
Value of total assets at beginning of year	2016-12-31	$11,489,999
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$0
Total interest from all sources	2016-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
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
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-12-31	$1,337,158
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$1,839,157
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	$-1,760,903
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$7,889,939
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$9,650,842
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 bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$3,166
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$18,002
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$18,002
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
Assets. Invements in employer securities at end of year	2016-12-31	$9,226,997
Assets. Invements in employer securities at beginning of year	2016-12-31	$11,471,997
Contributions received in cash from employer	2016-12-31	$920,701
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$379,701
Liabilities. Value of benefit claims payable at end of year	2016-12-31	$3,066
Liabilities. Value of benefit claims payable at beginning of year	2016-12-31	$0
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	No
Opinion of an independent qualified public accountant for this plan	2016-12-31	Unqualified
Accountancy firm name	2016-12-31	BENNING GROUP LLC
Accountancy firm EIN	2016-12-31	300003878
2015 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2015 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$515,562
Total unrealized appreciation/depreciation of assets	2015-12-31	$515,562
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$1,839,157
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$2,325,103
Expenses. Interest paid	2015-12-31	$72,955
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2015-12-31	$72,955
Total income from all sources (including contributions)	2015-12-31	$1,372,797
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$371,289
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$298,334
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$857,235
Value of total assets at end of year	2015-12-31	$11,489,999
Value of total assets at beginning of year	2015-12-31	$10,974,437
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$0
Total interest from all sources	2015-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
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
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$1,839,157
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$2,325,103
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	$1,001,508
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$9,650,842
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$8,649,334
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 bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$18,002
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$18,002
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$18,002
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
Assets. Invements in employer securities at end of year	2015-12-31	$11,471,997
Assets. Invements in employer securities at beginning of year	2015-12-31	$10,956,435
Contributions received in cash from employer	2015-12-31	$857,235
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$298,334
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	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	BENNING GROUP LLC
Accountancy firm EIN	2015-12-31	300003878
2014 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2014 401k financial data
Total plan liabilities at end of year	2014-12-31	$2,325,103
Total plan liabilities at beginning of year	2014-12-31	$2,795,350
Total income from all sources	2014-12-31	$-215,629
Expenses. Total of all expenses incurred	2014-12-31	$299,658
Benefits paid (including direct rollovers)	2014-12-31	$211,004
Total plan assets at end of year	2014-12-31	$10,974,436
Total plan assets at beginning of year	2014-12-31	$11,959,970
Value of fidelity bond covering the plan	2014-12-31	$1,000,000
Expenses. Other expenses not covered elsewhere	2014-12-31	$88,654
Other income received	2014-12-31	$-985,559
Net income (gross income less expenses)	2014-12-31	$-515,287
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$8,649,333
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$9,164,620
Assets. Value of employer securities	2014-12-31	$10,956,435
Total contributions received or receivable from employer(s)	2014-12-31	$769,930
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
2013 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2013 401k financial data
Total plan liabilities at end of year	2013-12-31	$2,795,350
Total plan liabilities at beginning of year	2013-12-31	$3,250,407
Total income from all sources	2013-12-31	$356,842
Expenses. Total of all expenses incurred	2013-12-31	$655,897
Benefits paid (including direct rollovers)	2013-12-31	$552,052
Total plan assets at end of year	2013-12-31	$11,959,970
Total plan assets at beginning of year	2013-12-31	$12,714,082
Value of fidelity bond covering the plan	2013-12-31	$1,000,000
Expenses. Other expenses not covered elsewhere	2013-12-31	$103,845
Contributions received from other sources (not participants or employers)	2013-12-31	$10,900
Other income received	2013-12-31	$-645,009
Net income (gross income less expenses)	2013-12-31	$-299,055
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$9,164,620
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$9,463,675
Assets. Value of employer securities	2013-12-31	$11,941,994
Total contributions received or receivable from employer(s)	2013-12-31	$990,951
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2012 401k financial data
Total plan liabilities at end of year	2012-12-31	$3,250,407
Total plan liabilities at beginning of year	2012-12-31	$3,732,737
Total income from all sources	2012-12-31	$4,797,313
Expenses. Total of all expenses incurred	2012-12-31	$401,803
Benefits paid (including direct rollovers)	2012-12-31	$315,011
Total plan assets at end of year	2012-12-31	$12,714,082
Total plan assets at beginning of year	2012-12-31	$8,800,902
Value of fidelity bond covering the plan	2012-12-31	$1,000,000
Expenses. Other expenses not covered elsewhere	2012-12-31	$76,571
Other income received	2012-12-31	$4,004,687
Net income (gross income less expenses)	2012-12-31	$4,395,510
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$9,463,675
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$5,068,165
Assets. Value of employer securities	2012-12-31	$12,587,004
Total contributions received or receivable from employer(s)	2012-12-31	$792,626
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$10,221
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2011 401k financial data
Total plan liabilities at end of year	2011-12-31	$3,732,737
Total plan liabilities at beginning of year	2011-12-31	$4,521,912
Total income from all sources	2011-12-31	$3,823,809
Expenses. Total of all expenses incurred	2011-12-31	$419,400
Benefits paid (including direct rollovers)	2011-12-31	$309,732
Total plan assets at end of year	2011-12-31	$8,800,902
Total plan assets at beginning of year	2011-12-31	$6,185,668
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Expenses. Other expenses not covered elsewhere	2011-12-31	$83,637
Other income received	2011-12-31	$2,950,997
Net income (gross income less expenses)	2011-12-31	$3,404,409
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$5,068,165
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,663,756
Assets. Value of employer securities	2011-12-31	$8,719,000
Total contributions received or receivable from employer(s)	2011-12-31	$872,812
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$26,031
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2010 401k financial data
Total plan liabilities at end of year	2010-12-31	$4,521,912
Total income from all sources	2010-12-31	$-1,742,374
Expenses. Total of all expenses incurred	2010-12-31	$244,872
Benefits paid (including direct rollovers)	2010-12-31	$78,928
Total plan assets at end of year	2010-12-31	$6,185,668
Total plan assets at beginning of year	2010-12-31	$3,651,002
Value of fidelity bond covering the plan	2010-12-31	$1,000,000
Other income received	2010-12-31	$-2,242,374
Net income (gross income less expenses)	2010-12-31	$-1,987,246
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,663,756
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$3,651,002
Assets. Value of employer securities	2010-12-31	$5,768,004
Total contributions received or receivable from employer(s)	2010-12-31	$500,000
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$165,944
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN

2023: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2023 form 5500 responses
2023-01-01	Type of plan entity	Single employer plan
2023-01-01	Submission has been amended	No
2023-01-01	This submission is the final filing	Yes
2023-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2023-01-01	Plan is a collectively bargained plan	No
2023-01-01	Plan funding arrangement – Trust	Yes
2023-01-01	Plan benefit arrangement - Trust	Yes
2022: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP 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 – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP 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 – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP 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 – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP 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 – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single 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: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single 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: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single 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: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single 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: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP 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
2012: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: CALDWELL GROUP EMPLOYEE STOCK OWNERSHIP PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	THE CALDWELL GROUP, INC.
Employer identification number (EIN):	362896884
NAIC Classification:	332900