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THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan NameTHE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN
Plan identification number 001

THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN Benefits

401k Plan TypeDefined 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.
  • 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

THE DAVE THOMAS FAMILY COMPANIES, LLC has sponsored the creation of one or more 401k plans.

Company Name:THE DAVE THOMAS FAMILY COMPANIES, LLC
Employer identification number (EIN):475504383
NAIC Classification:722513
NAIC Description:Limited-Service Restaurants

Form 5500 Filing Information

Submission information for form 5500 for 401k plan THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012019-01-01
0012018-01-01
0012017-01-01LANCE KESTERSON
0012016-01-01NANCY CASSENS
0012016-01-01NANCY CASSENS
0012016-01-01

Plan Statistics for THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2022: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01608
Total number of active participants reported on line 7a of the Form 55002022-01-01482
Number of retired or separated participants receiving benefits2022-01-0116
Number of other retired or separated participants entitled to future benefits2022-01-0147
Total of all active and inactive participants2022-01-01545
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01545
Number of participants with account balances2022-01-01203
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-014
2021: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01673
Total number of active participants reported on line 7a of the Form 55002021-01-01511
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-0139
Total of all active and inactive participants2021-01-01550
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01550
Number of participants with account balances2021-01-01184
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-015
2020: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01690
Total number of active participants reported on line 7a of the Form 55002020-01-01577
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-0129
Total of all active and inactive participants2020-01-01606
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01606
Number of participants with account balances2020-01-01184
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-013
2019: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01732
Total number of active participants reported on line 7a of the Form 55002019-01-01572
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-0165
Total of all active and inactive participants2019-01-01637
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01637
Number of participants with account balances2019-01-01227
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-016
2018: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01772
Total number of active participants reported on line 7a of the Form 55002018-01-01591
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-0141
Total of all active and inactive participants2018-01-01632
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-010
Total participants2018-01-01632
Number of participants with account balances2018-01-01216
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-010
2017: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01792
Total number of active participants reported on line 7a of the Form 55002017-01-01594
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-0151
Total of all active and inactive participants2017-01-01645
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01645
Number of participants with account balances2017-01-01245
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0110
2016: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-011,154
Total number of active participants reported on line 7a of the Form 55002016-01-01724
Number of retired or separated participants receiving benefits2016-01-012
Number of other retired or separated participants entitled to future benefits2016-01-0132
Total of all active and inactive participants2016-01-01758
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01758
Number of participants with account balances2016-01-01256

Financial Data on THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN

Measure Date Value
2022 : THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$5,749
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$6,587
Total income from all sources (including contributions)2022-12-31$-730,024
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$1,242,668
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$1,137,302
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$574,712
Value of total assets at end of year2022-12-31$8,521,490
Value of total assets at beginning of year2022-12-31$10,495,020
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$105,366
Total interest from all sources2022-12-31$13,324
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$141,623
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$141,623
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$500,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$337,017
Participant contributions at end of year2022-12-31$327,955
Participant contributions at beginning of year2022-12-31$305,724
Participant contributions at end of year2022-12-31$0
Participant contributions at beginning of year2022-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$2,119
Value of other receiveables (less allowance for doubtful accounts) at end of year2022-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2022-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2022-12-31$5,749
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2022-12-31$6,587
Other income not declared elsewhere2022-12-31$-1,459,683
Administrative expenses (other) incurred2022-12-31$105,366
Total non interest bearing cash at end of year2022-12-31$0
Total non interest bearing cash at beginning of year2022-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Income. Non cash contributions2022-12-31$0
Value of net income/loss2022-12-31$-1,972,692
Value of net assets at end of year (total assets less liabilities)2022-12-31$8,515,741
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$10,488,433
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$7,021,950
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$9,457,852
Interest on participant loans2022-12-31$13,324
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2022-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2022-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2022-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2022-12-31$1,171,585
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2022-12-31$731,444
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31Yes
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$235,576
Employer contributions (assets) at end of year2022-12-31$0
Employer contributions (assets) at beginning of year2022-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$1,137,302
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31PLANCHEC(K) CPAS
Accountancy firm EIN2022-12-31842614035
2021 : THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$6,587
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$4,539
Total income from all sources (including contributions)2021-12-31$1,864,416
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$660,047
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$549,899
Expenses. Certain deemed distributions of participant loans2021-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$649,944
Value of total assets at end of year2021-12-31$10,495,020
Value of total assets at beginning of year2021-12-31$9,288,603
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$110,148
Total interest from all sources2021-12-31$13,446
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 year2021-12-31No
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$500,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$413,752
Participant contributions at end of year2021-12-31$305,724
Participant contributions at beginning of year2021-12-31$292,344
Participant contributions at end of year2021-12-31$0
Participant contributions at beginning of year2021-12-31$0
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2021-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2021-12-31$6,587
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2021-12-31$4,539
Administrative expenses (other) incurred2021-12-31$110,148
Total non interest bearing cash at end of year2021-12-31$0
Total non interest bearing cash at beginning of year2021-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$1,204,369
Value of net assets at end of year (total assets less liabilities)2021-12-31$10,488,433
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$9,284,064
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$9,457,852
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$8,349,209
Interest on participant loans2021-12-31$13,446
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2021-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2021-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2021-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2021-12-31$731,444
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2021-12-31$647,050
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$1,201,026
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31Yes
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$236,192
Employer contributions (assets) at end of year2021-12-31$0
Employer contributions (assets) at beginning of year2021-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$549,899
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31PLANCHEC(K) CPAS
Accountancy firm EIN2021-12-31842614035
2020 : THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2020-12-31$4,539
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$1,718,773
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$420,492
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$283,371
Expenses. Certain deemed distributions of participant loans2020-12-31$44,789
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$629,519
Value of total assets at end of year2020-12-31$9,288,603
Value of total assets at beginning of year2020-12-31$7,985,783
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$92,332
Total interest from all sources2020-12-31$27,280
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 year2020-12-31No
Administrative expenses professional fees incurred2020-12-31$92,332
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$500,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Contributions received from participants2020-12-31$388,691
Participant contributions at end of year2020-12-31$292,344
Participant contributions at beginning of year2020-12-31$403,349
Participant contributions at end of year2020-12-31$0
Participant contributions at beginning of year2020-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$7,260
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2020-12-31$423
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year2020-12-31$4,539
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-12-31$0
Liabilities. Value of operating payables at end of year2020-12-31$0
Liabilities. Value of operating payables at beginning of year2020-12-31$0
Total non interest bearing cash at end of year2020-12-31$0
Total non interest bearing cash at beginning of year2020-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Income. Non cash contributions2020-12-31$0
Value of net income/loss2020-12-31$1,298,281
Value of net assets at end of year (total assets less liabilities)2020-12-31$9,284,064
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$7,985,783
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$8,349,209
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$7,168,560
Interest on participant loans2020-12-31$18,495
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2020-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2020-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2020-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-12-31$8,785
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$647,050
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$413,874
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$1,061,974
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31No
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$233,568
Employer contributions (assets) at end of year2020-12-31$0
Employer contributions (assets) at beginning of year2020-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$282,948
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Opinion of an independent qualified public accountant for this plan2020-12-31Disclaimer
Accountancy firm name2020-12-31PLANCHEC(K) CPAS
Accountancy firm EIN2020-12-31842614035
2019 : THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets2019-12-31$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$3,739
Total income from all sources (including contributions)2019-12-31$1,913,831
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$631,415
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$532,839
Expenses. Certain deemed distributions of participant loans2019-12-31$9,889
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$638,077
Value of total assets at end of year2019-12-31$7,985,783
Value of total assets at beginning of year2019-12-31$6,707,106
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$88,687
Total interest from all sources2019-12-31$21,553
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 year2019-12-31No
Administrative expenses professional fees incurred2019-12-31$88,687
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$500,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Contributions received from participants2019-12-31$335,002
Participant contributions at end of year2019-12-31$403,349
Participant contributions at beginning of year2019-12-31$333,641
Participant contributions at end of year2019-12-31$0
Participant contributions at beginning of year2019-12-31$36,386
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$44,308
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2019-12-31$0
Liabilities. Value of operating payables at end of year2019-12-31$0
Liabilities. Value of operating payables at beginning of year2019-12-31$3,739
Total non interest bearing cash at end of year2019-12-31$0
Total non interest bearing cash at beginning of year2019-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$1,282,416
Value of net assets at end of year (total assets less liabilities)2019-12-31$7,985,783
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$6,703,367
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$7,168,560
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$5,927,527
Interest on participant loans2019-12-31$14,170
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2019-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2019-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2019-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$7,383
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$413,874
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$397,789
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$1,254,201
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$258,767
Employer contributions (assets) at end of year2019-12-31$0
Employer contributions (assets) at beginning of year2019-12-31$11,763
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$532,839
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31PW PARTNERS LLC
Accountancy firm EIN2019-12-31833323563
2018 : THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$3,739
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2018-12-31$3,739
Total income from all sources (including contributions)2018-12-31$324,096
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$897,165
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$862,097
Expenses. Certain deemed distributions of participant loans2018-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$619,826
Value of total assets at end of year2018-12-31$6,707,106
Value of total assets at beginning of year2018-12-31$7,280,175
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$35,068
Total interest from all sources2018-12-31$21,261
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 year2018-12-31No
Administrative expenses professional fees incurred2018-12-31$35,068
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$500,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Contributions received from participants2018-12-31$366,219
Participant contributions at end of year2018-12-31$333,641
Participant contributions at beginning of year2018-12-31$253,842
Participant contributions at end of year2018-12-31$36,386
Participant contributions at beginning of year2018-12-31$6,621
Other income not declared elsewhere2018-12-31$27,287
Liabilities. Value of operating payables at end of year2018-12-31$3,739
Liabilities. Value of operating payables at beginning of year2018-12-31$3,739
Total non interest bearing cash at end of year2018-12-31$0
Total non interest bearing cash at beginning of year2018-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-573,069
Value of net assets at end of year (total assets less liabilities)2018-12-31$6,703,367
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$7,276,436
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$5,927,527
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$6,648,303
Interest on participant loans2018-12-31$14,571
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2018-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2018-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2018-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-12-31$6,690
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$397,789
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$359,691
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-344,278
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31No
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$253,607
Employer contributions (assets) at end of year2018-12-31$11,763
Employer contributions (assets) at beginning of year2018-12-31$11,718
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$862,097
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31REA & ASSOCIATES
Accountancy firm EIN2018-12-31341310124
2017 : THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$3,739
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2017-12-31$3,743
Total income from all sources (including contributions)2017-12-31$1,512,932
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$348,186
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$314,391
Expenses. Certain deemed distributions of participant loans2017-12-31$5,741
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$561,659
Value of total assets at end of year2017-12-31$7,280,175
Value of total assets at beginning of year2017-12-31$6,115,433
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$28,054
Total interest from all sources2017-12-31$20,021
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Administrative expenses professional fees incurred2017-12-31$28,054
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$500,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Contributions received from participants2017-12-31$321,260
Participant contributions at end of year2017-12-31$253,842
Participant contributions at beginning of year2017-12-31$255,878
Participant contributions at end of year2017-12-31$6,621
Participant contributions at beginning of year2017-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$3,539
Liabilities. Value of operating payables at end of year2017-12-31$3,739
Liabilities. Value of operating payables at beginning of year2017-12-31$3,743
Total non interest bearing cash at end of year2017-12-31$0
Total non interest bearing cash at beginning of year2017-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$1,164,746
Value of net assets at end of year (total assets less liabilities)2017-12-31$7,276,436
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$6,111,690
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$6,648,303
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$5,528,389
Interest on participant loans2017-12-31$12,098
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2017-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2017-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2017-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$7,923
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$359,691
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$325,912
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$931,252
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$236,860
Employer contributions (assets) at end of year2017-12-31$11,718
Employer contributions (assets) at beginning of year2017-12-31$5,254
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$314,391
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31REA & ASSOCIATES
Accountancy firm EIN2017-12-31341310124
2016 : THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$3,743
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2016-12-31$13,489
Total income from all sources (including contributions)2016-12-31$3,374,055
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$118,480
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$96,655
Expenses. Certain deemed distributions of participant loans2016-12-31$1,971
Value of total corrective distributions2016-12-31$179
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$2,904,769
Value of total assets at end of year2016-12-31$6,115,433
Value of total assets at beginning of year2016-12-31$2,869,604
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$19,675
Total interest from all sources2016-12-31$15,684
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$500,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Contributions received from participants2016-12-31$353,613
Participant contributions at end of year2016-12-31$255,878
Participant contributions at beginning of year2016-12-31$185,759
Participant contributions at end of year2016-12-31$0
Participant contributions at beginning of year2016-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$2,296,069
Other income not declared elsewhere2016-12-31$0
Liabilities. Value of operating payables at end of year2016-12-31$3,743
Liabilities. Value of operating payables at beginning of year2016-12-31$13,489
Total non interest bearing cash at end of year2016-12-31$0
Total non interest bearing cash at beginning of year2016-12-31$562
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$3,255,575
Value of net assets at end of year (total assets less liabilities)2016-12-31$6,111,690
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$2,856,115
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$5,528,389
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$2,678,029
Interest on participant loans2016-12-31$10,063
Interest earned on other investments2016-12-31$5,621
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year2016-12-31$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year2016-12-31$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year2016-12-31$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$325,912
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$453,602
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31No
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$255,087
Employer contributions (assets) at end of year2016-12-31$5,254
Employer contributions (assets) at beginning of year2016-12-31$5,254
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$96,655
Contract administrator fees2016-12-31$19,675
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31REA & ASSOCIATES
Accountancy firm EIN2016-12-31341310124

Form 5500 Responses for THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN

2022: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01Submission has been amendedNo
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01Submission has been amendedNo
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedNo
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01Submission has been amendedNo
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01Submission has been amendedNo
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01Submission has been amendedNo
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: THE DAVE THOMAS FAMILY COMPANIES, LLC 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01Submission has been amendedYes
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberGAP-CP-HT1B
Policy instance 1
Insurance contract or identification numberGAP-CP-HT1B
Number of Individuals Covered545
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $4,355
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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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
Amount paid for insurance broker fees4355
Additional information about fees paid to insurance brokerCOMMISSIONS
Insurance broker organization code?3
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberGAP-CP-HT1B
Policy instance 1
Insurance contract or identification numberGAP-CP-HT1B
Number of Individuals Covered231
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $3,058
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $3,058
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerCOMMISSIONS
Insurance broker organization code?3
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberGAP-CP-HT1B
Policy instance 1
Insurance contract or identification numberGAP-CP-HT1B
Number of Individuals Covered231
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $2,373
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $2,373
Amount paid for insurance broker fees0
Additional information about fees paid to insurance brokerCOMMISSIONS
Insurance broker organization code?3
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberGAP-CP-HT1B
Policy instance 1
Insurance contract or identification numberGAP-CP-HT1B
Number of Individuals Covered227
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $1,825
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $1,825
Insurance broker organization code?3
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberGAP-CP-HT1B
Policy instance 1
Insurance contract or identification numberGAP-CP-HT1B
Number of Individuals Covered632
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $1,711
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $1,711
Insurance broker organization code?3
NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )
Policy contract numberGAP-CP-HT1B
Policy instance 1
Insurance contract or identification numberGAP-CP-HT1B
Number of Individuals Covered245
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $1,924
Total amount of fees paid to insurance companyUSD $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 planNo
Contracts With Unallocated Funds Deposit Administration0
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?Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?No
Health Insurance Welfare BenefitNo
Dental Insurance Welfare BenefitNo
Vision Insurance Welfare BenefitNo
Life Insurance Welfare BenefitNo
Temporary Disability Insurance Welfare BenefitNo
Long Term Disability Insurance Welfare BenefitNo
Unemployment Insurance Welfare BenefitNo
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 BrokerUSD $1,924
Insurance broker organization code?3
Insurance broker nameSAGEPOINT FINANCIAL

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