401k Plan data: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN plan

OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN
Plan identification number	001

OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING 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.

401k Sponsoring company profile

OXBOW ENTERPRISES, LLC has sponsored the creation of one or more 401k plans.

Company Name: OXBOW ENTERPRISES, LLC

Employer identification number (EIN): 470711465

NAIC Classification: 311110
NAIC Description: Animal Food Manufacturing

Form 5500 Filing Information

Submission information for form 5500 for 401k plan OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 STEVE CRISCIONE 2023-10-15 STEVE CRISCIONE 2023-10-15
001 2022-01-01 STEVE CRISCIONE 2023-10-15 STEVE CRISCIONE 2023-10-15
001 2021-01-01 ERICCA NOLAN 2022-10-12 ERICCA NOLAN 2022-10-12
001 2020-01-01 JOHN R. MILLER 2021-10-03 JOHN R. MILLER 2021-10-03
001 2019-01-01 JOHN R. MILLER 2020-09-28 JOHN R. MILLER 2020-09-28
001 2018-01-01 JOHN R. MILLER 2019-10-10 JOHN R. MILLER 2019-10-10
001 2017-01-01
001 2016-01-01 JOHN R. MILLER 2017-09-18
001 2015-01-01 JOHN R. MILLER 2016-07-25
001 2014-01-01 JOHN R. MILLER 2015-10-01
001 2013-01-01 JOHN R. MILLER 2014-06-24
001 2012-01-01 JOHN R. MILLER 2013-10-11
001 2011-01-01 JOHN R. MILLER 2013-10-11
001 2010-01-01 OXBOW ENTERPRISES INC

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	STEVE CRISCIONE	2023-10-15	STEVE CRISCIONE	2023-10-15
001	2022-01-01	STEVE CRISCIONE	2023-10-15	STEVE CRISCIONE	2023-10-15
001	2021-01-01	ERICCA NOLAN	2022-10-12	ERICCA NOLAN	2022-10-12
001	2020-01-01	JOHN R. MILLER	2021-10-03	JOHN R. MILLER	2021-10-03
001	2019-01-01	JOHN R. MILLER	2020-09-28	JOHN R. MILLER	2020-09-28
001	2018-01-01	JOHN R. MILLER	2019-10-10	JOHN R. MILLER	2019-10-10
001	2017-01-01
001	2016-01-01	JOHN R. MILLER	2017-09-18
001	2015-01-01	JOHN R. MILLER	2016-07-25
001	2014-01-01	JOHN R. MILLER	2015-10-01
001	2013-01-01	JOHN R. MILLER	2014-06-24
001	2012-01-01	JOHN R. MILLER	2013-10-11
001	2011-01-01	JOHN R. MILLER	2013-10-11
001	2010-01-01	OXBOW ENTERPRISES INC

Plan Statistics for OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2023: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2023 401k membership
Total participants, beginning-of-year 2023-01-01 191
Total number of active participants reported on line 7a of the Form 5500 2023-01-01 0
Number of retired or separated participants receiving benefits 2023-01-01 0
Number of other retired or separated participants entitled to future benefits 2023-01-01 0
Total of all active and inactive participants 2023-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2023-01-01 0
Total participants 2023-01-01 0
Number of participants with account balances 2023-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2023-01-01 0
2022: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 221
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 163
Number of retired or separated participants receiving benefits 2022-01-01 3
Number of other retired or separated participants entitled to future benefits 2022-01-01 25
Total of all active and inactive participants 2022-01-01 191
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 191
Number of participants with account balances 2022-01-01 136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 0
2021: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 182
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 161
Number of retired or separated participants receiving benefits 2021-01-01 1
Number of other retired or separated participants entitled to future benefits 2021-01-01 32
Total of all active and inactive participants 2021-01-01 194
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 194
Number of participants with account balances 2021-01-01 143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 1
2020: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 168
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 143
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 15
Total of all active and inactive participants 2020-01-01 158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 158
Number of participants with account balances 2020-01-01 116
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 139
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 118
Number of retired or separated participants receiving benefits 2019-01-01 16
Number of other retired or separated participants entitled to future benefits 2019-01-01 11
Total of all active and inactive participants 2019-01-01 145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 145
Number of participants with account balances 2019-01-01 119
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 121
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 91
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 12
Total of all active and inactive participants 2018-01-01 103
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 103
Number of participants with account balances 2018-01-01 86
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2010: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 33
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 42
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 1
Total of all active and inactive participants 2010-01-01 43
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 43
Number of participants with account balances 2010-01-01 30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0

Measure	Date	Value
2023: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2023 401k membership
Total participants, beginning-of-year	2023-01-01	191
Total number of active participants reported on line 7a of the Form 5500	2023-01-01	0
Number of retired or separated participants receiving benefits	2023-01-01	0
Number of other retired or separated participants entitled to future benefits	2023-01-01	0
Total of all active and inactive participants	2023-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2023-01-01	0
Total participants	2023-01-01	0
Number of participants with account balances	2023-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2023-01-01	0
2022: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	221
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	163
Number of retired or separated participants receiving benefits	2022-01-01	3
Number of other retired or separated participants entitled to future benefits	2022-01-01	25
Total of all active and inactive participants	2022-01-01	191
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	191
Number of participants with account balances	2022-01-01	136
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	0
2021: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	182
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	161
Number of retired or separated participants receiving benefits	2021-01-01	1
Number of other retired or separated participants entitled to future benefits	2021-01-01	32
Total of all active and inactive participants	2021-01-01	194
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	194
Number of participants with account balances	2021-01-01	143
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	1
2020: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	168
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	143
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	15
Total of all active and inactive participants	2020-01-01	158
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	158
Number of participants with account balances	2020-01-01	116
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	139
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	118
Number of retired or separated participants receiving benefits	2019-01-01	16
Number of other retired or separated participants entitled to future benefits	2019-01-01	11
Total of all active and inactive participants	2019-01-01	145
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	145
Number of participants with account balances	2019-01-01	119
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	121
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	91
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	12
Total of all active and inactive participants	2018-01-01	103
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	103
Number of participants with account balances	2018-01-01	86
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2010: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	33
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	42
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	1
Total of all active and inactive participants	2010-01-01	43
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	43
Number of participants with account balances	2010-01-01	30
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0

Financial Data on OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2023 : OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets	2023-01-31	$0
Total transfer of assets from this plan	2023-01-31	$4,842,699
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2023-01-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2023-01-31	$0
Total income from all sources (including contributions)	2023-01-31	$-392
Total loss/gain on sale of assets	2023-01-31	$0
Total of all expenses incurred	2023-01-31	$0
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2023-01-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2023-01-31	$0
Value of total assets at end of year	2023-01-31	$0
Value of total assets at beginning of year	2023-01-31	$4,843,091
Total of administrative expenses incurred including professional, contract, advisory and management fees	2023-01-31	$0
Total interest from all sources	2023-01-31	$37
Total dividends received (eg from common stock, registered investment company shares)	2023-01-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2023-01-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2023-01-31	$0
Was this plan covered by a fidelity bond	2023-01-31	Yes
Value of fidelity bond cover	2023-01-31	$500,000
If this is an individual account plan, was there a blackout period	2023-01-31	No
Were there any nonexempt tranactions with any party-in-interest	2023-01-31	No
Participant contributions at beginning of year	2023-01-31	$88,899
Other income not declared elsewhere	2023-01-31	$-429
Total non interest bearing cash at end of year	2023-01-31	$0
Total non interest bearing cash at beginning of year	2023-01-31	$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	2023-01-31	No
Value of net income/loss	2023-01-31	$-392
Value of net assets at end of year (total assets less liabilities)	2023-01-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2023-01-31	$4,843,091
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2023-01-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2023-01-31	No
Were any leases to which the plan was party in default or uncollectible	2023-01-31	No
Value of interest in pooled separate accounts at beginning of year	2023-01-31	$4,754,192
Interest on participant loans	2023-01-31	$37
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2023-01-31	No
Was there a failure to transmit to the plan any participant contributions	2023-01-31	No
Has the plan failed to provide any benefit when due under the plan	2023-01-31	No
Did the plan have assets held for investment	2023-01-31	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	2023-01-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2023-01-31	Yes
Opinion of an independent qualified public accountant for this plan	2023-01-31	Unqualified
Accountancy firm name	2023-01-31	FORVIS, LLP
Accountancy firm EIN	2023-01-31	440160260
2022 : OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	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	$-409,232
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$816,737
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$808,710
Expenses. Certain deemed distributions of participant loans	2022-12-31	$3,437
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$740,671
Value of total assets at end of year	2022-12-31	$4,843,091
Value of total assets at beginning of year	2022-12-31	$6,069,060
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$4,590
Total interest from all sources	2022-12-31	$3,437
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Administrative expenses professional fees incurred	2022-12-31	$4,590
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$500,000
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	$439,475
Participant contributions at end of year	2022-12-31	$88,899
Participant contributions at beginning of year	2022-12-31	$53,593
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$42,119
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2022-12-31	$7,541
Total non interest bearing cash at end of year	2022-12-31	$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	2022-12-31	No
Value of net income/loss	2022-12-31	$-1,225,969
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$4,843,091
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$6,069,060
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 pooled separate accounts at end of year	2022-12-31	$4,754,192
Value of interest in pooled separate accounts at beginning of year	2022-12-31	$6,015,467
Interest on participant loans	2022-12-31	$3,437
Net investment gain/loss from pooled separate accounts	2022-12-31	$-1,153,340
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	$259,077
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$801,169
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
2021 : OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	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	$2,020,859
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$137,651
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$130,571
Expenses. Certain deemed distributions of participant loans	2021-12-31	$5,561
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$1,409,646
Value of total assets at end of year	2021-12-31	$6,069,060
Value of total assets at beginning of year	2021-12-31	$4,185,852
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$1,519
Total interest from all sources	2021-12-31	$1,992
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Administrative expenses professional fees incurred	2021-12-31	$1,519
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$500,000
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	$608,330
Participant contributions at end of year	2021-12-31	$53,593
Participant contributions at beginning of year	2021-12-31	$38,403
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$445,071
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	$1,883,208
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$6,069,060
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$4,185,852
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 pooled separate accounts at end of year	2021-12-31	$6,015,467
Value of interest in pooled separate accounts at beginning of year	2021-12-31	$4,147,449
Interest on participant loans	2021-12-31	$1,992
Net investment gain/loss from pooled separate accounts	2021-12-31	$609,221
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	$356,245
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$130,571
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	FORVIS, LLP
Accountancy firm EIN	2021-12-31	440160260
2020 : OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	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	$1,410,457
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$295,116
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$285,499
Expenses. Certain deemed distributions of participant loans	2020-12-31	$2,670
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$827,040
Value of total assets at end of year	2020-12-31	$4,185,852
Value of total assets at beginning of year	2020-12-31	$3,070,511
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$6,947
Total interest from all sources	2020-12-31	$1,505
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Administrative expenses professional fees incurred	2020-12-31	$6,947
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
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	$450,540
Participant contributions at end of year	2020-12-31	$38,403
Participant contributions at beginning of year	2020-12-31	$16,558
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$98,879
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	$1,115,341
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$4,185,852
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$3,070,511
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 beginning of year	2020-12-31	$3,722
Value of interest in pooled separate accounts at end of year	2020-12-31	$4,147,449
Value of interest in pooled separate accounts at beginning of year	2020-12-31	$3,048,918
Interest on participant loans	2020-12-31	$1,505
Net investment gain/loss from pooled separate accounts	2020-12-31	$581,912
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	No
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	$277,621
Employer contributions (assets) at beginning of year	2020-12-31	$1,313
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$285,499
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	Unqualified
Accountancy firm name	2020-12-31	BKD, LLP
Accountancy firm EIN	2020-12-31	440160260
2019 : OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2019 401k financial data
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 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	$1,052,147
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$181,313
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$175,875
Expenses. Certain deemed distributions of participant loans	2019-12-31	$4,158
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$566,634
Value of total assets at end of year	2019-12-31	$3,070,511
Value of total assets at beginning of year	2019-12-31	$2,199,677
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$1,280
Total interest from all sources	2019-12-31	$1,021
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
Administrative expenses professional fees incurred	2019-12-31	$855
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$306,920
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	$335,608
Participant contributions at end of year	2019-12-31	$16,558
Participant contributions at beginning of year	2019-12-31	$23,202
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$5,034
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$41,996
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	$870,834
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$3,070,511
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$2,199,677
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	$3,722
Value of interest in pooled separate accounts at end of year	2019-12-31	$3,048,918
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$2,134,479
Interest on participant loans	2019-12-31	$1,021
Net investment gain/loss from pooled separate accounts	2019-12-31	$484,492
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	$225,992
Employer contributions (assets) at end of year	2019-12-31	$1,313
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$175,875
Contract administrator fees	2019-12-31	$425
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	BKD, LLP
Accountancy firm EIN	2019-12-31	440160260
2018 : OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING 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	$362,906
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$298,234
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$294,614
Expenses. Certain deemed distributions of participant loans	2018-12-31	$870
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$539,888
Value of total assets at end of year	2018-12-31	$2,199,677
Value of total assets at beginning of year	2018-12-31	$2,135,005
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$2,750
Total interest from all sources	2018-12-31	$941
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$250,000
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	$305,674
Participant contributions at end of year	2018-12-31	$23,202
Participant contributions at beginning of year	2018-12-31	$8,786
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$53,483
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$41,996
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	$64,672
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$2,199,677
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$2,135,005
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
Investment advisory and management fees	2018-12-31	$2,750
Value of interest in pooled separate accounts at end of year	2018-12-31	$2,134,479
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$2,126,203
Interest on participant loans	2018-12-31	$941
Net investment gain/loss from pooled separate accounts	2018-12-31	$-177,923
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	No
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	$180,731
Employer contributions (assets) at beginning of year	2018-12-31	$16
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$294,614
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	BKD, LLP
Accountancy firm EIN	2018-12-31	440160260
2010 : OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$213,360
Expenses. Total of all expenses incurred	2010-12-31	$15,640
Benefits paid (including direct rollovers)	2010-12-31	$15,520
Total plan assets at end of year	2010-12-31	$437,138
Total plan assets at beginning of year	2010-12-31	$239,418
Value of fidelity bond covering the plan	2010-12-31	$20,000
Total contributions received or receivable from participants	2010-12-31	$40,014
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$1,085
Other income received	2010-12-31	$150,492
Net income (gross income less expenses)	2010-12-31	$197,720
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$437,138
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$239,418
Assets. Value of participant loans	2010-12-31	$808
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2010-12-31	$0
Total contributions received or receivable from employer(s)	2010-12-31	$21,769
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$120
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2010-12-31	$0
Minimum employer required contribution for this plan year	2010-12-31	$0
Amount contributed by the employer to the plan for this plan year	2010-12-31	$0

Form 5500 Responses for OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN

2023: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2023 form 5500 responses
2023-01-01	Type of plan entity	Single employer plan
2023-01-01	Submission has been amended	No
2023-01-01	This submission is the final filing	Yes
2023-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2023-01-01	Plan is a collectively bargained plan	No
2023-01-01	Plan funding arrangement – Insurance	Yes
2023-01-01	Plan funding arrangement – Trust	Yes
2023-01-01	Plan benefit arrangement - Trust	Yes
2022: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Insurance	Yes
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Insurance	Yes
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING 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 - Trust	Yes
2018: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING 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
2010: OXBOW ENTERPRISES, LLC 401(K) PROFIT SHARING PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	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

104151

Policy instance

Insurance contract or identification number	104151
Number of Individuals Covered	0
Insurance policy start date	2023-01-01
Insurance policy end date	2023-01-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
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

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

Policy contract number

104151

Policy instance

Insurance contract or identification number	104151
Number of Individuals Covered	139
Insurance policy start date	2022-01-01
Insurance policy end date	2022-12-31
Total amount of commissions paid to insurance broker	USD $21,469
Total amount of fees paid to insurance company	USD $7,314
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 $21,469
Insurance broker organization code?	7
Amount paid for insurance broker fees	7314
Additional information about fees paid to insurance broker	TPA FEES AND COMMISSION

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

Policy contract number

104151

Policy instance

Insurance contract or identification number	104151
Insurance policy start date	2021-01-01
Insurance policy end date	2021-12-31
Total amount of commissions paid to insurance broker	USD $19,742
Total amount of fees paid to insurance company	USD $4,035
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 $19,742
Insurance broker organization code?	7
Amount paid for insurance broker fees	4035
Additional information about fees paid to insurance broker	TPA FEES AND COMMISSION

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

Policy contract number

104151

Policy instance

Insurance contract or identification number	104151
Number of Individuals Covered	131
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $13,271
Total amount of fees paid to insurance company	USD $4,867
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 $13,271
Insurance broker organization code?	7
Amount paid for insurance broker fees	4867
Additional information about fees paid to insurance broker	TPA FEES AND COMPENSATION

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

Policy contract number

104151

Policy instance

Insurance contract or identification number	104151
Number of Individuals Covered	124
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $10,249
Total amount of fees paid to insurance company	USD $2,169
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 $10,249
Insurance broker organization code?	7
Amount paid for insurance broker fees	2169
Additional information about fees paid to insurance broker	TPA EXPENSE ALLOWANCE

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

Policy contract number

104151

Policy instance

Insurance contract or identification number	104151
Number of Individuals Covered	112
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $9,320
Total amount of fees paid to insurance company	USD $3,162
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 $9,320
Insurance broker organization code?	7
Amount paid for insurance broker fees	3162
Additional information about fees paid to insurance broker	TPA EXPENSE ALLOWANCE

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Company Name:	OXBOW ENTERPRISES, LLC
Employer identification number (EIN):	470711465
NAIC Classification:	311110
NAIC Description:	Animal Food Manufacturing