401k Plan data: STOCKDALE MANAGEMENT, LLC 401 (K) PLAN plan

STOCKDALE MANAGEMENT, LLC 401 (K) PLAN 401k Plan overview

Plan Name	STOCKDALE MANAGEMENT, LLC 401 (K) PLAN
Plan identification number	001

STOCKDALE MANAGEMENT, LLC 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.
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

STOCKDALE MANAGEMENT, LLC has sponsored the creation of one or more 401k plans.

Company Name: STOCKDALE MANAGEMENT, LLC

Employer identification number (EIN): 464355602

NAIC Classification: 531310

Additional information about STOCKDALE MANAGEMENT, LLC

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2014-04-01

Company Identification Number: 0801963157

Legal Registered Office Address: 4501 N SCOTTSDALE RD STE 201

SCOTTSDALE
United States of America (USA)
85251

More information about STOCKDALE MANAGEMENT, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan STOCKDALE MANAGEMENT, LLC 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
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01 JAY RIDENOUR 2019-07-26
001 2017-01-01
001 2016-01-01

Plan Statistics for STOCKDALE MANAGEMENT, LLC 401 (K) PLAN

401k plan membership statisitcs for STOCKDALE MANAGEMENT, LLC 401 (K) PLAN

Measure Date Value
2018: STOCKDALE MANAGEMENT, LLC 401 (K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 126
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 68
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 14
Total of all active and inactive participants 2018-01-01 82
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 82
Number of participants with account balances 2018-01-01 31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: STOCKDALE MANAGEMENT, LLC 401 (K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 124
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 112
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 14
Total of all active and inactive participants 2017-01-01 126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 126
Number of participants with account balances 2017-01-01 30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: STOCKDALE MANAGEMENT, LLC 401 (K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 136
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 113
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 11
Total of all active and inactive participants 2016-01-01 124
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 124
Number of participants with account balances 2016-01-01 24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 2

Measure	Date	Value
2018: STOCKDALE MANAGEMENT, LLC 401 (K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	126
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	68
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	14
Total of all active and inactive participants	2018-01-01	82
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	82
Number of participants with account balances	2018-01-01	31
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: STOCKDALE MANAGEMENT, LLC 401 (K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	124
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	112
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	14
Total of all active and inactive participants	2017-01-01	126
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	126
Number of participants with account balances	2017-01-01	30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: STOCKDALE MANAGEMENT, LLC 401 (K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	136
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	113
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	11
Total of all active and inactive participants	2016-01-01	124
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	124
Number of participants with account balances	2016-01-01	24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	2

Financial Data on STOCKDALE MANAGEMENT, LLC 401 (K) PLAN

Measure	Date	Value
2018 : STOCKDALE MANAGEMENT, LLC 401 (K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	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	$86,502
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$27,055
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$15,239
Value of total corrective distributions	2018-12-31	$692
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$139,584
Value of total assets at end of year	2018-12-31	$767,563
Value of total assets at beginning of year	2018-12-31	$708,116
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$11,124
Total interest from all sources	2018-12-31	$371
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Administrative expenses professional fees incurred	2018-12-31	$160
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
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	$133,889
Participant contributions at end of year	2018-12-31	$5,611
Participant contributions at beginning of year	2018-12-31	$7,097
Participant contributions at end of year	2018-12-31	$109
Participant contributions at beginning of year	2018-12-31	$100
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$5,695
Total non interest bearing cash at end of year	2018-12-31	$1,904
Total non interest bearing cash at beginning of year	2018-12-31	$2,365
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	$59,447
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$767,563
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$708,116
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 pooled separate accounts at end of year	2018-12-31	$759,939
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$698,554
Interest on participant loans	2018-12-31	$371
Net investment gain/loss from pooled separate accounts	2018-12-31	$-53,453
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
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$15,239
Contract administrator fees	2018-12-31	$10,964
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	No
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	PENSION ASSURANCE LLP
Accountancy firm EIN	2018-12-31	300840934
2017 : STOCKDALE MANAGEMENT, LLC 401 (K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$229,205
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$90,728
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$81,108
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$131,685
Value of total assets at end of year	2017-12-31	$708,116
Value of total assets at beginning of year	2017-12-31	$569,639
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$9,620
Total interest from all sources	2017-12-31	$321
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$0
Administrative expenses professional fees incurred	2017-12-31	$304
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$500,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$124,329
Participant contributions at end of year	2017-12-31	$7,097
Participant contributions at beginning of year	2017-12-31	$4,770
Participant contributions at end of year	2017-12-31	$100
Participant contributions at beginning of year	2017-12-31	$1,614
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$7,356
Total non interest bearing cash at end of year	2017-12-31	$2,365
Total non interest bearing cash at beginning of year	2017-12-31	$1,904
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$138,477
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$708,116
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$569,639
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in pooled separate accounts at end of year	2017-12-31	$698,554
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$561,351
Interest on participant loans	2017-12-31	$321
Net investment gain/loss from pooled separate accounts	2017-12-31	$97,199
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$81,108
Contract administrator fees	2017-12-31	$9,316
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	2017-12-31	No
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	PENSION ASSURANCE LLP
Accountancy firm EIN	2017-12-31	300840934
2016 : STOCKDALE MANAGEMENT, LLC 401 (K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$477,746
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$236,384
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$144,491
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$134,851
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$167,722
Value of total assets at end of year	2016-12-31	$569,639
Value of total assets at beginning of year	2016-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$9,640
Total interest from all sources	2016-12-31	$284
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Administrative expenses professional fees incurred	2016-12-31	$80
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$500,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$77,789
Participant contributions at end of year	2016-12-31	$4,770
Participant contributions at beginning of year	2016-12-31	$0
Participant contributions at end of year	2016-12-31	$1,614
Participant contributions at beginning of year	2016-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$89,933
Total non interest bearing cash at end of year	2016-12-31	$1,904
Total non interest bearing cash at beginning of year	2016-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$91,893
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$569,639
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in pooled separate accounts at end of year	2016-12-31	$561,351
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$0
Interest on participant loans	2016-12-31	$284
Net investment gain/loss from pooled separate accounts	2016-12-31	$68,378
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$134,851
Contract administrator fees	2016-12-31	$9,560
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	2016-12-31	No
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	PENSION ASSURANCE LLP
Accountancy firm EIN	2016-12-31	300840934

Form 5500 Responses for STOCKDALE MANAGEMENT, LLC 401 (K) PLAN

2018: STOCKDALE MANAGEMENT, LLC 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 - Trust	Yes
2017: STOCKDALE MANAGEMENT, LLC 401 (K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: STOCKDALE MANAGEMENT, LLC 401 (K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	First time form 5500 has been submitted	Yes
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	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

122385

Policy instance

Insurance contract or identification number	122385
Number of Individuals Covered	33
Insurance policy start date	2017-02-22
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $4,743
Total amount of fees paid to insurance company	USD $624
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 $4,743
Insurance broker organization code?	3
Amount paid for insurance broker fees	624
Additional information about fees paid to insurance broker	TPA FEE, TPA COMPENSATION
Insurance broker name	ACTUARIAL BENEFITS CORP.

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Company Name:	STOCKDALE MANAGEMENT, LLC
Employer identification number (EIN):	464355602
NAIC Classification:	531310

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2014-04-01
Company Identification Number:	0801963157
Legal Registered Office Address:	4501 N SCOTTSDALE RD STE 201 SCOTTSDALE United States of America (USA) 85251

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01	JAY RIDENOUR	2019-07-26
001	2017-01-01
001	2016-01-01