401k Plan data: EMPLOYEE RETIREMENT SAVINGS PLAN plan

EMPLOYEE RETIREMENT SAVINGS PLAN 401k Plan overview

Plan Name	EMPLOYEE RETIREMENT SAVINGS PLAN
Plan identification number	003

EMPLOYEE RETIREMENT SAVINGS 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.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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

40 CLARKSON HOLDINGS, LLC has sponsored the creation of one or more 401k plans.

Company Name: 40 CLARKSON HOLDINGS, LLC

Employer identification number (EIN): 471574284

NAIC Classification: 423600

Additional information about 40 CLARKSON HOLDINGS, LLC

Jurisdiction of Incorporation: Texas Secretary of State

Incorporation Date: 2014-08-13

Company Identification Number: 0802044830

Legal Registered Office Address: 22400 NW LAKE DR

HOUSTON
United States of America (USA)
77095

More information about 40 CLARKSON HOLDINGS, LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan EMPLOYEE RETIREMENT SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2018-01-01
003 2018-01-01
003 2017-01-01 ABBY SUBLET
003 2016-01-01 ABBY SUBLET

Plan Statistics for EMPLOYEE RETIREMENT SAVINGS PLAN

401k plan membership statisitcs for EMPLOYEE RETIREMENT SAVINGS PLAN

Measure Date Value
2018: EMPLOYEE RETIREMENT SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 316
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 0
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 0
Total of all active and inactive participants 2018-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 0
Number of participants with account balances 2018-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: EMPLOYEE RETIREMENT SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 267
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 261
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 47
Total of all active and inactive participants 2017-01-01 308
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 308
Number of participants with account balances 2017-01-01 226
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: EMPLOYEE RETIREMENT SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 189
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 167
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 25
Total of all active and inactive participants 2016-01-01 192
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 192
Number of participants with account balances 2016-01-01 123
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0

Measure	Date	Value
2018: EMPLOYEE RETIREMENT SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	316
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	0
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	0
Total of all active and inactive participants	2018-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	0
Number of participants with account balances	2018-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: EMPLOYEE RETIREMENT SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	267
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	261
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	47
Total of all active and inactive participants	2017-01-01	308
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	308
Number of participants with account balances	2017-01-01	226
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: EMPLOYEE RETIREMENT SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	189
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	167
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	25
Total of all active and inactive participants	2016-01-01	192
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	192
Number of participants with account balances	2016-01-01	123
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0

Financial Data on EMPLOYEE RETIREMENT SAVINGS PLAN

Measure	Date	Value
2018 : EMPLOYEE RETIREMENT SAVINGS PLAN 2018 401k financial data
Total transfer of assets from this plan	2018-12-31	$7,265,415
Total income from all sources (including contributions)	2018-12-31	$163,720
Total of all expenses incurred	2018-12-31	$150,613
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$148,914
Expenses. Certain deemed distributions of participant loans	2018-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,746,300
Value of total assets at end of year	2018-12-31	$0
Value of total assets at beginning of year	2018-12-31	$7,252,308
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$1,699
Total interest from all sources	2018-12-31	$19,712
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$351,502
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2018-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$351,502
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$3,000,000
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	$1,070,358
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$218,197
Participant contributions at end of year	2018-12-31	$0
Participant contributions at beginning of year	2018-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2018-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2018-12-31	$1,194,829
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$60,254
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$0
Other income not declared elsewhere	2018-12-31	$-1,196,523
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	$13,107
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$7,252,308
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	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$5,363,785
Interest on participant loans	2018-12-31	$14,168
Interest earned on other investments	2018-12-31	$5,544
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$475,497
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-757,271
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	$615,688
Employer contributions (assets) at end of year	2018-12-31	$0
Employer contributions (assets) at beginning of year	2018-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$148,914
Contract administrator fees	2018-12-31	$1,699
Did the plan have assets held for investment	2018-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	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	Yes
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	ROBERTSON & ROBERTSON, P.L.L.C.
Accountancy firm EIN	2018-12-31	261631123
2017 : EMPLOYEE RETIREMENT SAVINGS PLAN 2017 401k financial data
Total income from all sources (including contributions)	2017-12-31	$2,633,344
Total of all expenses incurred	2017-12-31	$276,566
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$271,666
Expenses. Certain deemed distributions of participant loans	2017-12-31	$3,723
Value of total corrective distributions	2017-12-31	$56
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$1,769,724
Value of total assets at end of year	2017-12-31	$7,252,308
Value of total assets at beginning of year	2017-12-31	$4,895,530
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$1,121
Total interest from all sources	2017-12-31	$15,838
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$190,473
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$190,473
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
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	$880,358
Participant contributions at end of year	2017-12-31	$218,197
Participant contributions at beginning of year	2017-12-31	$198,699
Participant contributions at end of year	2017-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$1,194,829
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$970,332
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$212,690
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$0
Other income not declared elsewhere	2017-12-31	$211,621
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	$2,356,778
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$7,252,308
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$4,895,530
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 registered invesment companies (eg mutual funds) at end of year	2017-12-31	$5,363,785
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$3,277,331
Interest on participant loans	2017-12-31	$10,811
Interest earned on other investments	2017-12-31	$5,027
Value of interest in common/collective trusts at beginning of year	2017-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$475,497
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$449,168
Expenses. Payments to insurance carriers foe the provision of benefits	2017-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$445,688
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	No
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	$676,676
Employer contributions (assets) at end of year	2017-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$271,666
Contract administrator fees	2017-12-31	$1,121
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	ROBERTSON & ROBERTSON, P.L.L.C.
Accountancy firm EIN	2017-12-31	261631123
2016 : EMPLOYEE RETIREMENT SAVINGS PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$1,041,162
Total of all expenses incurred	2016-12-31	$174,593
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$172,243
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$686,553
Value of total assets at end of year	2016-12-31	$4,895,530
Value of total assets at beginning of year	2016-12-31	$4,028,961
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$2,350
Total interest from all sources	2016-12-31	$8,574
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$126,730
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$126,730
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	Yes
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	$385,356
Participant contributions at end of year	2016-12-31	$198,699
Participant contributions at beginning of year	2016-12-31	$159,201
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$970,332
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$895,553
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$81,381
Other income not declared elsewhere	2016-12-31	$31,123
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	$866,569
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$4,895,530
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$4,028,961
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 registered invesment companies (eg mutual funds) at end of year	2016-12-31	$3,277,331
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$2,715,771
Interest on participant loans	2016-12-31	$8,438
Interest earned on other investments	2016-12-31	$136
Value of interest in common/collective trusts at end of year	2016-12-31	$0
Value of interest in common/collective trusts at beginning of year	2016-12-31	$258,436
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$449,168
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$188,182
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	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$219,816
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$172,243
Contract administrator fees	2016-12-31	$2,350
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	Yes
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	ROBERTSON & ROBERTSON, P.L.L.C.
Accountancy firm EIN	2016-12-31	261631123

Form 5500 Responses for EMPLOYEE RETIREMENT SAVINGS PLAN

2018: EMPLOYEE RETIREMENT SAVINGS PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	Yes
2018-01-01	This submission is the final filing	Yes
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: EMPLOYEE RETIREMENT SAVINGS PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
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: EMPLOYEE RETIREMENT SAVINGS PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
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

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

500476-01

Policy instance

Insurance contract or identification number	500476-01
Number of Individuals Covered	0
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

500476-01

Policy instance

Insurance contract or identification number	500476-01
Number of Individuals Covered	70
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	40 CLARKSON HOLDINGS, LLC
Employer identification number (EIN):	471574284
NAIC Classification:	423600

Jurisdiction of Incorporation:	Texas Secretary of State
Incorporation Date:	2014-08-13
Company Identification Number:	0802044830
Legal Registered Office Address:	22400 NW LAKE DR HOUSTON United States of America (USA) 77095