401k Plan data: THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN plan

THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN 401k Plan overview

Plan Name	THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN
Plan identification number	001

THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Money purchase (other than target benefit)
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.
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

THOMSON & WEINTRAUB, LLC has sponsored the creation of one or more 401k plans.

Company Name: THOMSON & WEINTRAUB, LLC

Employer identification number (EIN): 371212368

NAIC Classification: 541110
NAIC Description: Offices of Lawyers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 KATY KRAFT 2023-07-12
001 2021-01-01 KATHLEEN M. KRAFT 2022-07-22 TERI MONICAL 2022-07-22
001 2020-01-01 KATHLEEN M. KRAFT 2021-08-26
001 2018-01-01 KATY KRAFT 2019-06-20
001 2017-01-01 KATY KRAFT 2018-07-25
001 2016-01-01
001 2015-01-01
001 2014-01-01
001 2013-01-01
001 2012-01-01 KATHLEEN M. KRAFT 2013-05-09
001 2011-01-01 ALAN WEINTRAUB 2012-07-12
001 2010-01-01 ALAN WEINTRAUB
001 2009-01-01 ALAN WEINTRAUB

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	KATY KRAFT	2023-07-12
001	2021-01-01	KATHLEEN M. KRAFT	2022-07-22	TERI MONICAL	2022-07-22
001	2020-01-01	KATHLEEN M. KRAFT	2021-08-26
001	2018-01-01	KATY KRAFT	2019-06-20
001	2017-01-01	KATY KRAFT	2018-07-25
001	2016-01-01
001	2015-01-01
001	2014-01-01
001	2013-01-01
001	2012-01-01	KATHLEEN M. KRAFT	2013-05-09
001	2011-01-01	ALAN WEINTRAUB	2012-07-12
001	2010-01-01	ALAN WEINTRAUB
001	2009-01-01	ALAN WEINTRAUB

Plan Statistics for THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN

401k plan membership statisitcs for THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN

Measure Date Value
2010: THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 21
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 15
Number of other retired or separated participants entitled to future benefits 2010-01-01 6
Total of all active and inactive participants 2010-01-01 21
Total participants 2010-01-01 21
Number of participants with account balances 2010-01-01 21
2009: THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 24
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 14
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 21
Total participants 2009-01-01 21
Number of participants with account balances 2009-01-01 21

Measure	Date	Value
2010: THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	21
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	15
Number of other retired or separated participants entitled to future benefits	2010-01-01	6
Total of all active and inactive participants	2010-01-01	21
Total participants	2010-01-01	21
Number of participants with account balances	2010-01-01	21
2009: THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	24
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	14
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	21
Total participants	2009-01-01	21
Number of participants with account balances	2009-01-01	21

Financial Data on THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN

Measure	Date	Value
2010 : THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$114,145
Expenses. Total of all expenses incurred	2010-12-31	$7,064
Benefits paid (including direct rollovers)	2010-12-31	$7,064
Total plan assets at end of year	2010-12-31	$664,238
Total plan assets at beginning of year	2010-12-31	$557,157
Total contributions received or receivable from participants	2010-12-31	$45,303
Other income received	2010-12-31	$56,491
Net income (gross income less expenses)	2010-12-31	$107,081
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$664,238
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$557,157
Total contributions received or receivable from employer(s)	2010-12-31	$12,351

Form 5500 Responses for THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN

2010: THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: THOMSON & WEINTRAUB 401(K) INVESTMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	This submission is the final filing	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

728963075

Policy instance

Insurance contract or identification number	728963075
Number of Individuals Covered	20
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $1,326
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $1,326
Insurance broker organization code?	3
Insurance broker name	K KINGSTON

AXA EQUITABLE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

080295076

Policy instance

Insurance contract or identification number	080295076
Number of Individuals Covered	19
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $319
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $319
Insurance broker organization code?	3
Insurance broker name	K KINGSTON

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Company Name:	THOMSON & WEINTRAUB, LLC
Employer identification number (EIN):	371212368
NAIC Classification:	541110
NAIC Description:	Offices of Lawyers