CASTLEROCK ASSET MANAGEMENT, LLC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan CASTLEROCK 401(K) RETIREMENT PLAN
Measure | Date | Value |
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2022 : CASTLEROCK 401(K) RETIREMENT PLAN 2022 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2022-12-31 | $0 |
Total transfer of assets to this plan | 2022-12-31 | $0 |
Total transfer of assets from this plan | 2022-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2022-12-31 | $0 |
Total income from all sources (including contributions) | 2022-12-31 | $442,739 |
Total loss/gain on sale of assets | 2022-12-31 | $0 |
Total of all expenses incurred | 2022-12-31 | $466,138 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2022-12-31 | $418,776 |
Expenses. Certain deemed distributions of participant loans | 2022-12-31 | $26,540 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2022-12-31 | $871,287 |
Value of total assets at end of year | 2022-12-31 | $1,979,632 |
Value of total assets at beginning of year | 2022-12-31 | $2,003,031 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2022-12-31 | $20,822 |
Total interest from all sources | 2022-12-31 | $4,151 |
Total dividends received (eg from common stock, registered investment company shares) | 2022-12-31 | $88,898 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2022-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2022-12-31 | $88,898 |
Was this plan covered by a fidelity bond | 2022-12-31 | Yes |
Value of fidelity bond cover | 2022-12-31 | $201,000 |
If this is an individual account plan, was there a blackout period | 2022-12-31 | No |
Were there any nonexempt tranactions with any party-in-interest | 2022-12-31 | No |
Contributions received from participants | 2022-12-31 | $439,317 |
Participant contributions at end of year | 2022-12-31 | $74,387 |
Participant contributions at beginning of year | 2022-12-31 | $73,783 |
Income. Received or receivable in cash from other sources (including rollovers) | 2022-12-31 | $191,831 |
Administrative expenses (other) incurred | 2022-12-31 | $20,822 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2022-12-31 | No |
Value of net income/loss | 2022-12-31 | $-23,399 |
Value of net assets at end of year (total assets less liabilities) | 2022-12-31 | $1,979,632 |
Value of net assets at beginning of year (total assets less liabilities) | 2022-12-31 | $2,003,031 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2022-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2022-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2022-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2022-12-31 | $1,873,462 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2022-12-31 | $1,899,570 |
Interest on participant loans | 2022-12-31 | $4,151 |
Value of interest in common/collective trusts at end of year | 2022-12-31 | $31,783 |
Value of interest in common/collective trusts at beginning of year | 2022-12-31 | $29,678 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2022-12-31 | $-522,416 |
Net investment gain or loss from common/collective trusts | 2022-12-31 | $819 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2022-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2022-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2022-12-31 | No |
Contributions received in cash from employer | 2022-12-31 | $240,139 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2022-12-31 | $418,776 |
Did the plan have assets held for investment | 2022-12-31 | 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 | 2022-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2022-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2022-12-31 | Unqualified |
Accountancy firm name | 2022-12-31 | JASON UNDERWOOD CPA PLLC |
Accountancy firm EIN | 2022-12-31 | 453976013 |
2021 : CASTLEROCK 401(K) RETIREMENT PLAN 2021 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2021-12-31 | $0 |
Total transfer of assets to this plan | 2021-12-31 | $0 |
Total transfer of assets from this plan | 2021-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2021-12-31 | $0 |
Total income from all sources (including contributions) | 2021-12-31 | $792,382 |
Total loss/gain on sale of assets | 2021-12-31 | $0 |
Total of all expenses incurred | 2021-12-31 | $364,887 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2021-12-31 | $337,014 |
Expenses. Certain deemed distributions of participant loans | 2021-12-31 | $269 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2021-12-31 | $525,968 |
Value of total assets at end of year | 2021-12-31 | $2,003,031 |
Value of total assets at beginning of year | 2021-12-31 | $1,575,536 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2021-12-31 | $27,604 |
Total interest from all sources | 2021-12-31 | $4,698 |
Total dividends received (eg from common stock, registered investment company shares) | 2021-12-31 | $85,048 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2021-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2021-12-31 | $85,048 |
Was this plan covered by a fidelity bond | 2021-12-31 | Yes |
Value of fidelity bond cover | 2021-12-31 | $158,000 |
If this is an individual account plan, was there a blackout period | 2021-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2021-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2021-12-31 | No |
Contributions received from participants | 2021-12-31 | $335,052 |
Participant contributions at end of year | 2021-12-31 | $73,783 |
Participant contributions at beginning of year | 2021-12-31 | $89,059 |
Administrative expenses (other) incurred | 2021-12-31 | $27,604 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2021-12-31 | No |
Value of net income/loss | 2021-12-31 | $427,495 |
Value of net assets at end of year (total assets less liabilities) | 2021-12-31 | $2,003,031 |
Value of net assets at beginning of year (total assets less liabilities) | 2021-12-31 | $1,575,536 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2021-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2021-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2021-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2021-12-31 | $1,899,570 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2021-12-31 | $1,472,756 |
Interest on participant loans | 2021-12-31 | $4,698 |
Value of interest in common/collective trusts at end of year | 2021-12-31 | $29,678 |
Value of interest in common/collective trusts at beginning of year | 2021-12-31 | $13,721 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2021-12-31 | $176,197 |
Net investment gain or loss from common/collective trusts | 2021-12-31 | $471 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2021-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2021-12-31 | No |
Has the plan failed to provide any benefit when due under the plan | 2021-12-31 | No |
Contributions received in cash from employer | 2021-12-31 | $190,916 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2021-12-31 | $337,014 |
Did the plan have assets held for investment | 2021-12-31 | 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 | 2021-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2021-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2021-12-31 | Unqualified |
Accountancy firm name | 2021-12-31 | JASON UNDERWOOD CPA PLLC |
Accountancy firm EIN | 2021-12-31 | 453976013 |
2020 : CASTLEROCK 401(K) RETIREMENT PLAN 2020 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2020-12-31 | $0 |
Total transfer of assets to this plan | 2020-12-31 | $0 |
Total transfer of assets from this plan | 2020-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2020-12-31 | $0 |
Total income from all sources (including contributions) | 2020-12-31 | $677,965 |
Total loss/gain on sale of assets | 2020-12-31 | $0 |
Total of all expenses incurred | 2020-12-31 | $604,719 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2020-12-31 | $580,378 |
Expenses. Certain deemed distributions of participant loans | 2020-12-31 | $13,839 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2020-12-31 | $438,126 |
Value of total assets at end of year | 2020-12-31 | $1,575,536 |
Value of total assets at beginning of year | 2020-12-31 | $1,502,290 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2020-12-31 | $10,502 |
Total interest from all sources | 2020-12-31 | $2,675 |
Total dividends received (eg from common stock, registered investment company shares) | 2020-12-31 | $45,495 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2020-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2020-12-31 | $45,495 |
Was this plan covered by a fidelity bond | 2020-12-31 | Yes |
Value of fidelity bond cover | 2020-12-31 | $151,000 |
If this is an individual account plan, was there a blackout period | 2020-12-31 | No |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2020-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2020-12-31 | No |
Contributions received from participants | 2020-12-31 | $258,477 |
Participant contributions at end of year | 2020-12-31 | $89,059 |
Participant contributions at beginning of year | 2020-12-31 | $37,258 |
Income. Received or receivable in cash from other sources (including rollovers) | 2020-12-31 | $9,122 |
Administrative expenses (other) incurred | 2020-12-31 | $10,502 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2020-12-31 | No |
Value of net income/loss | 2020-12-31 | $73,246 |
Value of net assets at end of year (total assets less liabilities) | 2020-12-31 | $1,575,536 |
Value of net assets at beginning of year (total assets less liabilities) | 2020-12-31 | $1,502,290 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2020-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2020-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2020-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2020-12-31 | $1,472,756 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2020-12-31 | $1,457,973 |
Interest on participant loans | 2020-12-31 | $2,675 |
Value of interest in common/collective trusts at end of year | 2020-12-31 | $13,721 |
Value of interest in common/collective trusts at beginning of year | 2020-12-31 | $7,059 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2020-12-31 | $191,322 |
Net investment gain or loss from common/collective trusts | 2020-12-31 | $347 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2020-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2020-12-31 | Yes |
Has the plan failed to provide any benefit when due under the plan | 2020-12-31 | No |
Contributions received in cash from employer | 2020-12-31 | $170,527 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2020-12-31 | $580,378 |
Did the plan have assets held for investment | 2020-12-31 | 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 | 2020-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2020-12-31 | No |
Opinion of an independent qualified public accountant for this plan | 2020-12-31 | Disclaimer |
Accountancy firm name | 2020-12-31 | JASON UNDERWOOD CPA, PLLC |
Accountancy firm EIN | 2020-12-31 | 453976013 |
2019 : CASTLEROCK 401(K) RETIREMENT PLAN 2019 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2019-12-31 | $0 |
Total transfer of assets to this plan | 2019-12-31 | $0 |
Total transfer of assets from this plan | 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 income from all sources (including contributions) | 2019-12-31 | $1,118,311 |
Total loss/gain on sale of assets | 2019-12-31 | $0 |
Total of all expenses incurred | 2019-12-31 | $83,250 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2019-12-31 | $77,975 |
Value of total corrective distributions | 2019-12-31 | $2,620 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2019-12-31 | $919,041 |
Value of total assets at end of year | 2019-12-31 | $1,502,484 |
Value of total assets at beginning of year | 2019-12-31 | $467,423 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2019-12-31 | $2,655 |
Total interest from all sources | 2019-12-31 | $390 |
Total dividends received (eg from common stock, registered investment company shares) | 2019-12-31 | $63,707 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2019-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2019-12-31 | $63,707 |
Was this plan covered by a fidelity bond | 2019-12-31 | Yes |
Value of fidelity bond cover | 2019-12-31 | $47,000 |
If this is an individual account plan, was there a blackout period | 2019-12-31 | No |
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 |
Contributions received from participants | 2019-12-31 | $470,525 |
Participant contributions at end of year | 2019-12-31 | $37,258 |
Income. Received or receivable in cash from other sources (including rollovers) | 2019-12-31 | $180,593 |
Administrative expenses (other) incurred | 2019-12-31 | $2,655 |
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 | $1,035,061 |
Value of net assets at end of year (total assets less liabilities) | 2019-12-31 | $1,502,484 |
Value of net assets at beginning of year (total assets less liabilities) | 2019-12-31 | $467,423 |
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 leases to which the plan was party in default or uncollectible | 2019-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2019-12-31 | $1,458,167 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2019-12-31 | $467,153 |
Interest on participant loans | 2019-12-31 | $390 |
Value of interest in common/collective trusts at end of year | 2019-12-31 | $7,059 |
Value of interest in common/collective trusts at beginning of year | 2019-12-31 | $270 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2019-12-31 | $135,082 |
Net investment gain or loss from common/collective trusts | 2019-12-31 | $91 |
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 |
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 | $267,923 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2019-12-31 | $77,975 |
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 |
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 |
Opinion of an independent qualified public accountant for this plan | 2019-12-31 | Disclaimer |
Accountancy firm name | 2019-12-31 | JASON UNDERWOOD CPA, PLLC |
Accountancy firm EIN | 2019-12-31 | 453976013 |
2018 : CASTLEROCK 401(K) RETIREMENT PLAN 2018 401k financial data |
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Total unrealized appreciation/depreciation of assets | 2018-12-31 | $0 |
Total transfer of assets from this plan | 2018-12-31 | $0 |
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-12-31 | $0 |
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2018-12-31 | $0 |
Total income from all sources (including contributions) | 2018-12-31 | $291,990 |
Total loss/gain on sale of assets | 2018-12-31 | $0 |
Total of all expenses incurred | 2018-12-31 | $5,858 |
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2018-12-31 | $5,703 |
Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2018-12-31 | $327,791 |
Value of total assets at end of year | 2018-12-31 | $467,423 |
Value of total assets at beginning of year | 2018-12-31 | $181,291 |
Total of administrative expenses incurred including professional, contract, advisory and management fees | 2018-12-31 | $155 |
Total interest from all sources | 2018-12-31 | $0 |
Total dividends received (eg from common stock, registered investment company shares) | 2018-12-31 | $27,568 |
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2018-12-31 | No |
Total dividends received from registered investment company shares (eg mutual funds) | 2018-12-31 | $27,568 |
Was this plan covered by a fidelity bond | 2018-12-31 | Yes |
Value of fidelity bond cover | 2018-12-31 | $19,000 |
If this is an individual account plan, was there a blackout period | 2018-12-31 | Yes |
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2018-12-31 | $0 |
Were there any nonexempt tranactions with any party-in-interest | 2018-12-31 | No |
Contributions received from participants | 2018-12-31 | $189,584 |
Income. Received or receivable in cash from other sources (including rollovers) | 2018-12-31 | $64,431 |
Administrative expenses (other) incurred | 2018-12-31 | $155 |
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2018-12-31 | No |
Value of net income/loss | 2018-12-31 | $286,132 |
Value of net assets at end of year (total assets less liabilities) | 2018-12-31 | $467,423 |
Value of net assets at beginning of year (total assets less liabilities) | 2018-12-31 | $181,291 |
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2018-12-31 | No |
Were any loans by the plan or fixed income obligations due to the plan in default | 2018-12-31 | No |
Were any leases to which the plan was party in default or uncollectible | 2018-12-31 | No |
Value of interest in registered invesment companies (eg mutual funds) at end of year | 2018-12-31 | $467,153 |
Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2018-12-31 | $181,291 |
Value of interest in common/collective trusts at end of year | 2018-12-31 | $270 |
Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2018-12-31 | $-63,374 |
Net investment gain or loss from common/collective trusts | 2018-12-31 | $5 |
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2018-12-31 | No |
Was there a failure to transmit to the plan any participant contributions | 2018-12-31 | Yes |
Has the plan failed to provide any benefit when due under the plan | 2018-12-31 | No |
Contributions received in cash from employer | 2018-12-31 | $73,776 |
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2018-12-31 | $5,703 |
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 | 2018-12-31 | Yes |
Did the plan have assets held for investment | 2018-12-31 | 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 | 2018-12-31 | No |
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2018-12-31 | No |
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2018-12-31 | Yes |
Opinion of an independent qualified public accountant for this plan | 2018-12-31 | Disclaimer |
Accountancy firm name | 2018-12-31 | JASON UNDERWOOD CPA, PLLC |
Accountancy firm EIN | 2018-12-31 | 453976013 |