401k Plan data: CONTRACTORS AND EMPLOYEES 401(K) PLAN plan

CONTRACTORS AND EMPLOYEES 401(K) PLAN 401k Plan overview

Plan Name	CONTRACTORS AND EMPLOYEES 401(K) PLAN
Plan identification number	001

CONTRACTORS AND EMPLOYEES 401(K) PLAN 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.

401k Sponsoring company profile

COOL ROOFING SYSTEMS, INC. has sponsored the creation of one or more 401k plans.

Company Name: COOL ROOFING SYSTEMS, INC.

Employer identification number (EIN): 432050158

NAIC Classification: 238220
NAIC Description: Plumbing, Heating, and Air-Conditioning Contractors

Additional information about COOL ROOFING SYSTEMS, INC.

Jurisdiction of Incorporation: Nevada Department of State

Incorporation Date: 2007-05-22

Company Identification Number: 20071720361

Legal Registered Office Address: 769 BASQUE WAY SUITE 300

CARSON CITY
United States of America (USA)
89706

More information about COOL ROOFING SYSTEMS, INC.

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CONTRACTORS AND EMPLOYEES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-11-01 JAMIE BILLMAN 2018-01-04
001 2015-11-01 JAMIE BILLMAN 2017-08-11
001 2014-11-01 LINDA HALFHILL JAMIE BILLMAN 2016-08-08
001 2013-11-01 LINDA HALFHILL 2015-07-10 COOL ROOFING SYSTEMS 2015-07-10
001 2012-11-01 ANGEL LOPEZ 2014-10-06 ANGEL LOPEZ 2014-10-06
001 2011-11-01 ANGELICA LOPEZ 2013-08-13 ANGELICA LOPEZ COOL ROOFING SYSTEMS 2013-08-13
001 2010-11-01 ANGELICA LOPEZ 2013-05-09 ANGELICA LOPEZ 2013-05-09

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2016-11-01			JAMIE BILLMAN	2018-01-04
001	2015-11-01			JAMIE BILLMAN	2017-08-11
001	2014-11-01	LINDA HALFHILL		JAMIE BILLMAN	2016-08-08
001	2013-11-01	LINDA HALFHILL	2015-07-10	COOL ROOFING SYSTEMS	2015-07-10
001	2012-11-01	ANGEL LOPEZ	2014-10-06	ANGEL LOPEZ	2014-10-06
001	2011-11-01	ANGELICA LOPEZ	2013-08-13	ANGELICA LOPEZ COOL ROOFING SYSTEMS	2013-08-13
001	2010-11-01	ANGELICA LOPEZ	2013-05-09	ANGELICA LOPEZ	2013-05-09

Plan Statistics for CONTRACTORS AND EMPLOYEES 401(K) PLAN

401k plan membership statisitcs for CONTRACTORS AND EMPLOYEES 401(K) PLAN

Measure Date Value
2016: CONTRACTORS AND EMPLOYEES 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-11-01 116
Total number of active participants reported on line 7a of the Form 5500 2016-11-01 0
Number of retired or separated participants receiving benefits 2016-11-01 0
Number of other retired or separated participants entitled to future benefits 2016-11-01 0
Total of all active and inactive participants 2016-11-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-11-01 0
Total participants 2016-11-01 0
Number of participants with account balances 2016-11-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-11-01 0
2015: CONTRACTORS AND EMPLOYEES 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-11-01 140
Total number of active participants reported on line 7a of the Form 5500 2015-11-01 91
Number of retired or separated participants receiving benefits 2015-11-01 0
Number of other retired or separated participants entitled to future benefits 2015-11-01 25
Total of all active and inactive participants 2015-11-01 116
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-11-01 0
Total participants 2015-11-01 116
Number of participants with account balances 2015-11-01 116
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-11-01 0
2014: CONTRACTORS AND EMPLOYEES 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-11-01 135
Total number of active participants reported on line 7a of the Form 5500 2014-11-01 133
Number of retired or separated participants receiving benefits 2014-11-01 0
Number of other retired or separated participants entitled to future benefits 2014-11-01 7
Total of all active and inactive participants 2014-11-01 140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-11-01 0
Total participants 2014-11-01 140
Number of participants with account balances 2014-11-01 104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-11-01 0

Measure	Date	Value
2016: CONTRACTORS AND EMPLOYEES 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-11-01	116
Total number of active participants reported on line 7a of the Form 5500	2016-11-01	0
Number of retired or separated participants receiving benefits	2016-11-01	0
Number of other retired or separated participants entitled to future benefits	2016-11-01	0
Total of all active and inactive participants	2016-11-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-11-01	0
Total participants	2016-11-01	0
Number of participants with account balances	2016-11-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-11-01	0
2015: CONTRACTORS AND EMPLOYEES 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-11-01	140
Total number of active participants reported on line 7a of the Form 5500	2015-11-01	91
Number of retired or separated participants receiving benefits	2015-11-01	0
Number of other retired or separated participants entitled to future benefits	2015-11-01	25
Total of all active and inactive participants	2015-11-01	116
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-11-01	0
Total participants	2015-11-01	116
Number of participants with account balances	2015-11-01	116
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-11-01	0
2014: CONTRACTORS AND EMPLOYEES 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-11-01	135
Total number of active participants reported on line 7a of the Form 5500	2014-11-01	133
Number of retired or separated participants receiving benefits	2014-11-01	0
Number of other retired or separated participants entitled to future benefits	2014-11-01	7
Total of all active and inactive participants	2014-11-01	140
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-11-01	0
Total participants	2014-11-01	140
Number of participants with account balances	2014-11-01	104
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-11-01	0

Financial Data on CONTRACTORS AND EMPLOYEES 401(K) PLAN

Measure	Date	Value
2017 : CONTRACTORS AND EMPLOYEES 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-03-31	$0
Total transfer of assets from this plan	2017-03-31	$1,431,789
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-03-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-03-31	$0
Total income from all sources (including contributions)	2017-03-31	$222,642
Total loss/gain on sale of assets	2017-03-31	$0
Total of all expenses incurred	2017-03-31	$80,348
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-03-31	$80,348
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-03-31	$190,568
Value of total assets at end of year	2017-03-31	$0
Value of total assets at beginning of year	2017-03-31	$1,289,495
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-03-31	$0
Total interest from all sources	2017-03-31	$620
Total dividends received (eg from common stock, registered investment company shares)	2017-03-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-03-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2017-03-31	$0
Was this plan covered by a fidelity bond	2017-03-31	Yes
Value of fidelity bond cover	2017-03-31	$200,000
If this is an individual account plan, was there a blackout period	2017-03-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2017-03-31	No
Contributions received from participants	2017-03-31	$9,498
Participant contributions at end of year	2017-03-31	$0
Participant contributions at beginning of year	2017-03-31	$65,489
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-03-31	No
Value of net income/loss	2017-03-31	$142,294
Value of net assets at end of year (total assets less liabilities)	2017-03-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2017-03-31	$1,289,495
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-03-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-03-31	No
Were any leases to which the plan was party in default or uncollectible	2017-03-31	No
Interest on participant loans	2017-03-31	$620
Assets. Value of investments in 103.12 investment entities at end of year	2017-03-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2017-03-31	$1,224,006
Net gain/loss from 103.12 investment entities	2017-03-31	$31,454
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-03-31	No
Was there a failure to transmit to the plan any participant contributions	2017-03-31	No
Has the plan failed to provide any benefit when due under the plan	2017-03-31	No
Contributions received in cash from employer	2017-03-31	$181,070
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-03-31	$80,348
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	2017-03-31	Yes
Did the plan have assets held for investment	2017-03-31	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	2017-03-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-03-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-03-31	No
Opinion of an independent qualified public accountant for this plan	2017-03-31	Unqualified
Accountancy firm name	2017-03-31	ERICKSON, DEMEL & CO., PLLC
Accountancy firm EIN	2017-03-31	464064364
2016 : CONTRACTORS AND EMPLOYEES 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-10-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-10-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-10-31	$0
Total income from all sources (including contributions)	2016-10-31	$490,034
Total loss/gain on sale of assets	2016-10-31	$0
Total of all expenses incurred	2016-10-31	$352,458
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-10-31	$323,114
Expenses. Certain deemed distributions of participant loans	2016-10-31	$29,344
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-10-31	$485,932
Value of total assets at end of year	2016-10-31	$1,289,495
Value of total assets at beginning of year	2016-10-31	$1,151,919
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-10-31	$0
Total interest from all sources	2016-10-31	$2,172
Total dividends received (eg from common stock, registered investment company shares)	2016-10-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-10-31	No
Was this plan covered by a fidelity bond	2016-10-31	Yes
Value of fidelity bond cover	2016-10-31	$200,000
If this is an individual account plan, was there a blackout period	2016-10-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-10-31	No
Contributions received from participants	2016-10-31	$30,796
Participant contributions at end of year	2016-10-31	$65,489
Participant contributions at beginning of year	2016-10-31	$66,529
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-10-31	No
Value of net income/loss	2016-10-31	$137,576
Value of net assets at end of year (total assets less liabilities)	2016-10-31	$1,289,495
Value of net assets at beginning of year (total assets less liabilities)	2016-10-31	$1,151,919
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-10-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-10-31	No
Were any leases to which the plan was party in default or uncollectible	2016-10-31	No
Interest on participant loans	2016-10-31	$2,172
Assets. Value of investments in 103.12 investment entities at end of year	2016-10-31	$1,224,006
Assets. Value of investments in 103.12 investment entities at beginning of year	2016-10-31	$1,085,390
Net gain/loss from 103.12 investment entities	2016-10-31	$1,930
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-10-31	No
Was there a failure to transmit to the plan any participant contributions	2016-10-31	No
Has the plan failed to provide any benefit when due under the plan	2016-10-31	No
Contributions received in cash from employer	2016-10-31	$455,136
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-10-31	$323,114
Did the plan have assets held for investment	2016-10-31	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	2016-10-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-10-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-10-31	No
Opinion of an independent qualified public accountant for this plan	2016-10-31	Unqualified
Accountancy firm name	2016-10-31	ERICKSON DEMEL & CO., PLLC
Accountancy firm EIN	2016-10-31	464064364
2015 : CONTRACTORS AND EMPLOYEES 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-10-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-10-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-10-31	$0
Total income from all sources (including contributions)	2015-10-31	$411,653
Total loss/gain on sale of assets	2015-10-31	$0
Total of all expenses incurred	2015-10-31	$129,300
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-10-31	$115,326
Expenses. Certain deemed distributions of participant loans	2015-10-31	$13,974
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-10-31	$450,116
Value of total assets at end of year	2015-10-31	$1,151,919
Value of total assets at beginning of year	2015-10-31	$869,566
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-10-31	$0
Total interest from all sources	2015-10-31	$1,397
Total dividends received (eg from common stock, registered investment company shares)	2015-10-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-10-31	No
Was this plan covered by a fidelity bond	2015-10-31	Yes
Value of fidelity bond cover	2015-10-31	$100,000
If this is an individual account plan, was there a blackout period	2015-10-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-10-31	No
Contributions received from participants	2015-10-31	$13,019
Participant contributions at end of year	2015-10-31	$66,529
Participant contributions at beginning of year	2015-10-31	$40,431
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-10-31	No
Value of net income/loss	2015-10-31	$282,353
Value of net assets at end of year (total assets less liabilities)	2015-10-31	$1,151,919
Value of net assets at beginning of year (total assets less liabilities)	2015-10-31	$869,566
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-10-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-10-31	No
Were any leases to which the plan was party in default or uncollectible	2015-10-31	No
Interest on participant loans	2015-10-31	$1,397
Assets. Value of investments in 103.12 investment entities at end of year	2015-10-31	$1,085,390
Assets. Value of investments in 103.12 investment entities at beginning of year	2015-10-31	$829,135
Net gain/loss from 103.12 investment entities	2015-10-31	$-39,860
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-10-31	No
Was there a failure to transmit to the plan any participant contributions	2015-10-31	No
Has the plan failed to provide any benefit when due under the plan	2015-10-31	No
Contributions received in cash from employer	2015-10-31	$437,097
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-10-31	$115,326
Did the plan have assets held for investment	2015-10-31	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	2015-10-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-10-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-10-31	No
Opinion of an independent qualified public accountant for this plan	2015-10-31	Unqualified
Accountancy firm name	2015-10-31	ERICKSON DEMEL & CO., PLLC
Accountancy firm EIN	2015-10-31	464064364

Form 5500 Responses for CONTRACTORS AND EMPLOYEES 401(K) PLAN

2016: CONTRACTORS AND EMPLOYEES 401(K) PLAN 2016 form 5500 responses
2016-11-01	Type of plan entity	Single employer plan
2016-11-01	Submission has been amended	No
2016-11-01	This submission is the final filing	Yes
2016-11-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2016-11-01	Plan is a collectively bargained plan	No
2016-11-01	Plan funding arrangement – Trust	Yes
2016-11-01	Plan benefit arrangement - Trust	Yes
2015: CONTRACTORS AND EMPLOYEES 401(K) PLAN 2015 form 5500 responses
2015-11-01	Type of plan entity	Single employer plan
2015-11-01	Submission has been amended	No
2015-11-01	This submission is the final filing	No
2015-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-11-01	Plan is a collectively bargained plan	No
2015-11-01	Plan funding arrangement – Trust	Yes
2015-11-01	Plan benefit arrangement - Trust	Yes
2014: CONTRACTORS AND EMPLOYEES 401(K) PLAN 2014 form 5500 responses
2014-11-01	Type of plan entity	Single employer plan
2014-11-01	Submission has been amended	No
2014-11-01	This submission is the final filing	No
2014-11-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-11-01	Plan is a collectively bargained plan	No
2014-11-01	Plan funding arrangement – Trust	Yes
2014-11-01	Plan benefit arrangement - Trust	Yes

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Company Name:	COOL ROOFING SYSTEMS, INC.
Employer identification number (EIN):	432050158
NAIC Classification:	238220
NAIC Description:	Plumbing, Heating, and Air-Conditioning Contractors

Jurisdiction of Incorporation:	Nevada Department of State
Incorporation Date:	2007-05-22
Company Identification Number:	20071720361
Legal Registered Office Address:	769 BASQUE WAY SUITE 300 CARSON CITY United States of America (USA) 89706