401k Plan data: APPLEBY & HORN TILE COMPANY 401(K) PLAN plan

APPLEBY & HORN TILE COMPANY 401(K) PLAN 401k Plan overview

Plan Name	APPLEBY & HORN TILE COMPANY 401(K) PLAN
Plan identification number	001

APPLEBY & HORN TILE COMPANY 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

APPLEBY & HORN TILE COMPANY has sponsored the creation of one or more 401k plans.

Company Name: APPLEBY & HORN TILE COMPANY

Employer identification number (EIN): 421076137

NAIC Classification: 238300

Additional information about APPLEBY & HORN TILE COMPANY

Jurisdiction of Incorporation: Iowa Secretary of State Business Entities

Incorporation Date: 1977-01-14

Company Identification Number: 002540

Legal Registered Office Address: 128 31ST ST NE

CEDAR RAPIDS
United States of America (USA)
52402

More information about APPLEBY & HORN TILE COMPANY

Form 5500 Filing Information

Submission information for form 5500 for 401k plan APPLEBY & HORN TILE COMPANY 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01 CHAD FRENCH 2023-04-27
001 2021-01-01 CHAD FRENCH 2022-04-08
001 2020-01-01 CHAD FRENCH 2021-05-28
001 2019-01-01
001 2018-01-01 CHAD FRENCH
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01
001 2013-01-01 WALTER OKERLUND 2014-06-03 WALTER OKERLUND 2014-06-03
001 2012-01-01 WALTER OKERLUND 2013-07-23
001 2011-01-01 WALTER OKERLUND 2012-04-18
001 2010-01-01 BRITTANY SALLEE 2011-05-09

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	CHAD FRENCH	2023-04-27
001	2021-01-01	CHAD FRENCH	2022-04-08
001	2020-01-01	CHAD FRENCH	2021-05-28
001	2019-01-01
001	2018-01-01	CHAD FRENCH
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01
001	2013-01-01	WALTER OKERLUND	2014-06-03	WALTER OKERLUND	2014-06-03
001	2012-01-01	WALTER OKERLUND	2013-07-23
001	2011-01-01	WALTER OKERLUND	2012-04-18
001	2010-01-01	BRITTANY SALLEE	2011-05-09

Plan Statistics for APPLEBY & HORN TILE COMPANY 401(K) PLAN

401k plan membership statisitcs for APPLEBY & HORN TILE COMPANY 401(K) PLAN

Measure Date Value
2019: APPLEBY & HORN TILE COMPANY 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 5
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 5
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 0
Total of all active and inactive participants 2019-01-01 5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 5
Number of participants with account balances 2019-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: APPLEBY & HORN TILE COMPANY 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 4
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 4
Number of participants with account balances 2018-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0

Measure	Date	Value
2019: APPLEBY & HORN TILE COMPANY 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	5
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	5
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	0
Total of all active and inactive participants	2019-01-01	5
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	5
Number of participants with account balances	2019-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: APPLEBY & HORN TILE COMPANY 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	4
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	4
Number of participants with account balances	2018-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0

Financial Data on APPLEBY & HORN TILE COMPANY 401(K) PLAN

Measure	Date	Value
2019 : APPLEBY & HORN TILE COMPANY 401(K) PLAN 2019 401k financial data
Total income from all sources	2019-12-31	$230,605
Expenses. Total of all expenses incurred	2019-12-31	$0
Total plan assets at end of year	2019-12-31	$826,558
Total plan assets at beginning of year	2019-12-31	$595,953
Value of fidelity bond covering the plan	2019-12-31	$100,000
Total contributions received or receivable from participants	2019-12-31	$31,526
Other income received	2019-12-31	$136,476
Net income (gross income less expenses)	2019-12-31	$230,605
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$826,558
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$595,953
Total contributions received or receivable from employer(s)	2019-12-31	$62,603
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
2018 : APPLEBY & HORN TILE COMPANY 401(K) PLAN 2018 401k financial data
Total income from all sources	2018-12-31	$78,924
Expenses. Total of all expenses incurred	2018-12-31	$305,942
Benefits paid (including direct rollovers)	2018-12-31	$302,925
Total plan assets at end of year	2018-12-31	$595,953
Total plan assets at beginning of year	2018-12-31	$822,971
Value of fidelity bond covering the plan	2018-12-31	$100,000
Total contributions received or receivable from participants	2018-12-31	$29,464
Other income received	2018-12-31	$-56,831
Net income (gross income less expenses)	2018-12-31	$-227,018
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$595,953
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$822,971
Total contributions received or receivable from employer(s)	2018-12-31	$106,291
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$3,017
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0

Form 5500 Responses for APPLEBY & HORN TILE COMPANY 401(K) PLAN

2019: APPLEBY & HORN TILE COMPANY 401(K) 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 – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: APPLEBY & HORN TILE COMPANY 401(K) 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 – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

81A619

Policy instance

Insurance contract or identification number	81A619
Number of Individuals Covered	5
Insurance policy start date	2019-08-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $1,552
Total amount of fees paid to insurance company	USD $642
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
Commission paid to Insurance Broker	USD $1,552
Insurance broker organization code?	7
Amount paid for insurance broker fees	642
Additional information about fees paid to insurance broker	TPA FEES

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

Policy contract number

56901

Policy instance

Insurance contract or identification number	56901
Number of Individuals Covered	0
Insurance policy start date	2018-01-01
Insurance policy end date	2018-07-30
Total amount of commissions paid to insurance broker	USD $1,263
Total amount of fees paid to insurance company	USD $313
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?	No
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
Commission paid to Insurance Broker	USD $1,263
Insurance broker organization code?	7
Amount paid for insurance broker fees	253
Additional information about fees paid to insurance broker	TPA COMPENSATION

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

81A619

Policy instance

Insurance contract or identification number	81A619
Number of Individuals Covered	4
Insurance policy start date	2018-08-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $8,882
Total amount of fees paid to insurance company	USD $3,206
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
Commission paid to Insurance Broker	USD $8,882
Insurance broker organization code?	7
Amount paid for insurance broker fees	3206
Additional information about fees paid to insurance broker	TPA FEES

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Company Name:	APPLEBY & HORN TILE COMPANY
Employer identification number (EIN):	421076137
NAIC Classification:	238300

Jurisdiction of Incorporation:	Iowa Secretary of State Business Entities
Incorporation Date:	1977-01-14
Company Identification Number:	002540
Legal Registered Office Address:	128 31ST ST NE CEDAR RAPIDS United States of America (USA) 52402