401k Plan data: PROCK EMPLOYEE GROUP PROFIT SHARING 401(K) PLAN plan

PROCK EMPLOYEE GROUP PROFIT SHARING 401(K) PLAN 401k Plan overview

Plan Name	PROCK EMPLOYEE GROUP PROFIT SHARING 401(K) PLAN
Plan identification number	001

PROCK EMPLOYEE GROUP PROFIT SHARING 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

PROCK OPERATIONS, INC. has sponsored the creation of one or more 401k plans.

Company Name: PROCK OPERATIONS, INC.

Employer identification number (EIN): 431437668

NAIC Classification: 423800

Additional information about PROCK OPERATIONS, INC.

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2003-10-13

Company Identification Number: 0800258430

Legal Registered Office Address: 124 S SEYMOUR ST

SAINT JAMES
United States of America (USA)
65559

More information about PROCK OPERATIONS, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan PROCK EMPLOYEE GROUP PROFIT SHARING 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 LAURA JONES 2023-05-11
001 2021-01-01 LAURA JONES 2022-06-28
001 2020-01-01 LAURA JONES 2021-06-18
001 2019-01-01
001 2019-01-01
001 2018-01-01 SHERRY STITES 2019-10-09 SHERRY STITES 2019-10-09
001 2017-01-01 SHERRY STITES 2018-04-06 SHERRY STITES 2018-04-06
001 2016-01-01 SHERRY STITES 2017-02-24 SHERRY STITES 2017-02-24
001 2015-01-01 SHERRY STITES 2016-03-09 SHERRY STITES 2016-03-09
001 2014-01-01 SHERRY STITES 2015-03-10 SHERRY STITES 2015-03-10
001 2013-01-01 SHERRY STITES 2014-02-28 SHERRY STITES 2014-02-28
001 2012-01-01 SHERRY STITES 2013-02-01 SHERRY STITES 2013-02-01
001 2011-01-01 SHERRY STITES 2012-01-30 SHERRY STITES 2012-01-30
001 2010-01-01 SHERRY STITES 2011-02-11 SHERRY STITES 2011-02-11

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01	LAURA JONES	2023-05-11
001	2021-01-01	LAURA JONES	2022-06-28
001	2020-01-01	LAURA JONES	2021-06-18
001	2019-01-01
001	2019-01-01
001	2018-01-01	SHERRY STITES	2019-10-09	SHERRY STITES	2019-10-09
001	2017-01-01	SHERRY STITES	2018-04-06	SHERRY STITES	2018-04-06
001	2016-01-01	SHERRY STITES	2017-02-24	SHERRY STITES	2017-02-24
001	2015-01-01	SHERRY STITES	2016-03-09	SHERRY STITES	2016-03-09
001	2014-01-01	SHERRY STITES	2015-03-10	SHERRY STITES	2015-03-10
001	2013-01-01	SHERRY STITES	2014-02-28	SHERRY STITES	2014-02-28
001	2012-01-01	SHERRY STITES	2013-02-01	SHERRY STITES	2013-02-01
001	2011-01-01	SHERRY STITES	2012-01-30	SHERRY STITES	2012-01-30
001	2010-01-01	SHERRY STITES	2011-02-11	SHERRY STITES	2011-02-11

Plan Statistics for PROCK EMPLOYEE GROUP PROFIT SHARING 401(K) PLAN

401k plan membership statisitcs for PROCK EMPLOYEE GROUP PROFIT SHARING 401(K) PLAN

Measure Date Value
2019: PROCK EMPLOYEE GROUP PROFIT SHARING 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 128
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 68
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 25
Total of all active and inactive participants 2019-01-01 93
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 93
Number of participants with account balances 2019-01-01 72
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 23

Measure	Date	Value
2019: PROCK EMPLOYEE GROUP PROFIT SHARING 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	128
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	68
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	25
Total of all active and inactive participants	2019-01-01	93
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	93
Number of participants with account balances	2019-01-01	72
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	23

Financial Data on PROCK EMPLOYEE GROUP PROFIT SHARING 401(K) PLAN

Measure	Date	Value
2019 : PROCK EMPLOYEE GROUP PROFIT SHARING 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total unrealized appreciation/depreciation of assets	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 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	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$420,534
Total income from all sources (including contributions)	2019-12-31	$420,534
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	$24,448
Total of all expenses incurred	2019-12-31	$24,448
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$14,681
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$14,681
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$245,434
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$245,434
Value of total assets at end of year	2019-12-31	$1,152,350
Value of total assets at end of year	2019-12-31	$1,152,350
Value of total assets at beginning of year	2019-12-31	$756,264
Value of total assets at beginning of year	2019-12-31	$756,264
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$9,767
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$9,767
Total interest from all sources	2019-12-31	$1,323
Total interest from all sources	2019-12-31	$1,323
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Administrative expenses professional fees incurred	2019-12-31	$293
Administrative expenses professional fees incurred	2019-12-31	$293
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	$25,000
Value of fidelity bond cover	2019-12-31	$25,000
If this is an individual account plan, was there a blackout period	2019-12-31	Yes
If this is an individual account plan, was there a blackout period	2019-12-31	Yes
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
Contributions received from participants	2019-12-31	$178,133
Contributions received from participants	2019-12-31	$178,133
Participant contributions at end of year	2019-12-31	$30,794
Participant contributions at end of year	2019-12-31	$30,794
Participant contributions at beginning of year	2019-12-31	$39,421
Participant contributions at beginning of year	2019-12-31	$39,421
Other income not declared elsewhere	2019-12-31	$40,887
Other income not declared elsewhere	2019-12-31	$40,887
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	$396,086
Value of net income/loss	2019-12-31	$396,086
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$1,152,350
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$1,152,350
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$756,264
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$756,264
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
Investment advisory and management fees	2019-12-31	$9,474
Investment advisory and management fees	2019-12-31	$9,474
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$1,121,556
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$1,121,556
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$716,843
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$716,843
Interest on participant loans	2019-12-31	$1,323
Interest on participant loans	2019-12-31	$1,323
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$132,890
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$132,890
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
Contributions received in cash from employer	2019-12-31	$67,301
Contributions received in cash from employer	2019-12-31	$67,301
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$14,681
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$14,681
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2019-12-31	Yes
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2019-12-31	Yes
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	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	LAPORTE CPAS & BUSINESS ADVISORS
Accountancy firm name	2019-12-31	LAPORTE CPAS & BUSINESS ADVISORS
Accountancy firm EIN	2019-12-31	721088864
Accountancy firm EIN	2019-12-31	721088864

Form 5500 Responses for PROCK EMPLOYEE GROUP PROFIT SHARING 401(K) PLAN

2019: PROCK EMPLOYEE GROUP PROFIT SHARING 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

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

137868

Policy instance

Insurance contract or identification number	137868
Number of Individuals Covered	238
Insurance policy start date	2019-01-22
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $4,316
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
Amount paid for insurance broker fees	4316
Additional information about fees paid to insurance broker	TPA FEES
Insurance broker organization code?	5

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Company Name:	PROCK OPERATIONS, INC.
Employer identification number (EIN):	431437668
NAIC Classification:	423800

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2003-10-13
Company Identification Number:	0800258430
Legal Registered Office Address:	124 S SEYMOUR ST SAINT JAMES United States of America (USA) 65559