401k Plan data: COMPLYNET 401(K) PLAN AND TRUST plan

COMPLYNET 401(K) PLAN AND TRUST 401k Plan overview

Plan Name	COMPLYNET 401(K) PLAN AND TRUST
Plan identification number	001

COMPLYNET 401(K) PLAN AND TRUST 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.
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

COMPLYNET CHICAGO CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: COMPLYNET CHICAGO CORPORATION

Employer identification number (EIN): 364163709

NAIC Classification: 541990
NAIC Description: All Other Professional, Scientific, and Technical Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan COMPLYNET 401(K) PLAN AND TRUST

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01 PHILIP J. TROY
001 2016-01-01 PHILIP J. TROY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01	PHILIP J. TROY
001	2016-01-01	PHILIP J. TROY

Plan Statistics for COMPLYNET 401(K) PLAN AND TRUST

401k plan membership statisitcs for COMPLYNET 401(K) PLAN AND TRUST

Measure Date Value
2017: COMPLYNET 401(K) PLAN AND TRUST 2017 401k membership
Total participants, beginning-of-year 2017-01-01 10
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 9
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 1
Total of all active and inactive participants 2017-01-01 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 10
Number of participants with account balances 2017-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 1
2016: COMPLYNET 401(K) PLAN AND TRUST 2016 401k membership
Total participants, beginning-of-year 2016-01-01 9
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 10
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 10
Number of participants with account balances 2016-01-01 10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0

Measure	Date	Value
2017: COMPLYNET 401(K) PLAN AND TRUST 2017 401k membership
Total participants, beginning-of-year	2017-01-01	10
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	9
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	1
Total of all active and inactive participants	2017-01-01	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	10
Number of participants with account balances	2017-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	1
2016: COMPLYNET 401(K) PLAN AND TRUST 2016 401k membership
Total participants, beginning-of-year	2016-01-01	9
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	10
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	10
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	10
Number of participants with account balances	2016-01-01	10
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0

Financial Data on COMPLYNET 401(K) PLAN AND TRUST

Measure	Date	Value
2017 : COMPLYNET 401(K) PLAN AND TRUST 2017 401k financial data
Transfers to/from the plan	2017-12-31	$0
Total plan liabilities at end of year	2017-12-31	$42
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$99,699
Expenses. Total of all expenses incurred	2017-12-31	$42
Benefits paid (including direct rollovers)	2017-12-31	$0
Total plan assets at end of year	2017-12-31	$159,891
Total plan assets at beginning of year	2017-12-31	$60,192
Value of fidelity bond covering the plan	2017-12-31	$101,000
Total contributions received or receivable from participants	2017-12-31	$60,072
Expenses. Other expenses not covered elsewhere	2017-12-31	$0
Contributions received from other sources (not participants or employers)	2017-12-31	$15,618
Other income received	2017-12-31	$7,069
Noncash contributions received	2017-12-31	$0
Net income (gross income less expenses)	2017-12-31	$99,657
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$159,849
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$60,192
Total contributions received or receivable from employer(s)	2017-12-31	$16,940
Value of certain deemed distributions of participant loans	2017-12-31	$0
Value of corrective distributions	2017-12-31	$42
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$0
2016 : COMPLYNET 401(K) PLAN AND TRUST 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$60,192
Expenses. Total of all expenses incurred	2016-12-31	$0
Benefits paid (including direct rollovers)	2016-12-31	$0
Total plan assets at end of year	2016-12-31	$60,192
Total plan assets at beginning of year	2016-12-31	$0
Value of fidelity bond covering the plan	2016-12-31	$25,000
Total contributions received or receivable from participants	2016-12-31	$0
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$0
Other income received	2016-12-31	$0
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$60,192
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$60,192
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$0
Total contributions received or receivable from employer(s)	2016-12-31	$60,192
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$0

Form 5500 Responses for COMPLYNET 401(K) PLAN AND TRUST

2017: COMPLYNET 401(K) PLAN AND TRUST 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 – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: COMPLYNET 401(K) PLAN AND TRUST 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	First time form 5500 has been submitted	Yes
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

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

127624

Policy instance

Insurance contract or identification number	127624
Number of Individuals Covered	10
Insurance policy start date	2017-02-15
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $506
Total amount of fees paid to insurance company	USD $1,080
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	1080
Additional information about fees paid to insurance broker	ADMINISTRATIVE
Insurance broker organization code?	5
Commission paid to Insurance Broker	USD $506
Insurance broker name	RAYMOND JAMES INSURANCE GROUP, INC.

Potentially related plans

COMPLYNET 401(K) PLAN AND TRUST [EIN = 825124680]

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Company Name:	COMPLYNET CHICAGO CORPORATION
Employer identification number (EIN):	364163709
NAIC Classification:	541990
NAIC Description:	All Other Professional, Scientific, and Technical Services