LEWIS RICE LLC has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan LEWIS, RICE & FINGERSH, LLC 401K SAVINGS PLAN
401k plan membership statisitcs for LEWIS, RICE & FINGERSH, LLC 401K SAVINGS PLAN
| Measure | Date | Value |
|---|
| 2018 : LEWIS, RICE & FINGERSH, LLC 401K SAVINGS PLAN 2018 401k financial data |
|---|
| Transfers to/from the plan | 2018-02-28 | $-1,122,797 |
| Total income from all sources | 2018-02-28 | $59,892 |
| Total plan assets at end of year | 2018-02-28 | $0 |
| Total plan assets at beginning of year | 2018-02-28 | $1,062,905 |
| Value of fidelity bond covering the plan | 2018-02-28 | $1,000,000 |
| Other income received | 2018-02-28 | $59,892 |
| Net income (gross income less expenses) | 2018-02-28 | $59,892 |
| Net plan assets at end of year (total assets less liabilities) | 2018-02-28 | $0 |
| Net plan assets at beginning of year (total assets less liabilities) | 2018-02-28 | $1,062,905 |
| Assets. Value of assets in partnership/joint-venture interests | 2018-02-28 | $0 |
| 2017 : LEWIS, RICE & FINGERSH, LLC 401K SAVINGS PLAN 2017 401k financial data |
|---|
| Total transfer of assets from this plan | 2017-07-31 | $45,530,041 |
| Total income from all sources (including contributions) | 2017-07-31 | $3,298,666 |
| Total of all expenses incurred | 2017-07-31 | $1,009,233 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2017-07-31 | $990,583 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2017-07-31 | $841,197 |
| Value of total assets at end of year | 2017-07-31 | $1,062,905 |
| Value of total assets at beginning of year | 2017-07-31 | $44,303,513 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2017-07-31 | $18,650 |
| Total interest from all sources | 2017-07-31 | $8,876 |
| Total dividends received (eg from common stock, registered investment company shares) | 2017-07-31 | $893,372 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2017-07-31 | Yes |
| Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan | 2017-07-31 | $0 |
| Total dividends received from registered investment company shares (eg mutual funds) | 2017-07-31 | $893,372 |
| Was this plan covered by a fidelity bond | 2017-07-31 | Yes |
| Value of fidelity bond cover | 2017-07-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2017-07-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2017-07-31 | No |
| Contributions received from participants | 2017-07-31 | $664,370 |
| Participant contributions at end of year | 2017-07-31 | $0 |
| Participant contributions at beginning of year | 2017-07-31 | $279,214 |
| Participant contributions at end of year | 2017-07-31 | $0 |
| Participant contributions at beginning of year | 2017-07-31 | $28,180 |
| Assets. Other investments not covered elsewhere at end of year | 2017-07-31 | $641,168 |
| Assets. Other investments not covered elsewhere at beginning of year | 2017-07-31 | $13,476,660 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2017-07-31 | $176,827 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2017-07-31 | $18,159 |
| Other income not declared elsewhere | 2017-07-31 | $824,143 |
| Administrative expenses (other) incurred | 2017-07-31 | $350 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2017-07-31 | No |
| Value of net income/loss | 2017-07-31 | $2,289,433 |
| Value of net assets at end of year (total assets less liabilities) | 2017-07-31 | $1,062,905 |
| Value of net assets at beginning of year (total assets less liabilities) | 2017-07-31 | $44,303,513 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2017-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2017-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2017-07-31 | No |
| Assets. partnership/joint venture interests at end of year | 2017-07-31 | $421,737 |
| Assets. partnership/joint venture interests at beginning of year | 2017-07-31 | $371,501 |
| Investment advisory and management fees | 2017-07-31 | $18,300 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2017-07-31 | $0 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2017-07-31 | $24,577,687 |
| Interest on participant loans | 2017-07-31 | $8,876 |
| Value of interest in common/collective trusts at end of year | 2017-07-31 | $0 |
| Value of interest in common/collective trusts at beginning of year | 2017-07-31 | $5,542,062 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2017-07-31 | $0 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2017-07-31 | $10,050 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2017-07-31 | $10,050 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2017-07-31 | $439,188 |
| Net investment gain or loss from common/collective trusts | 2017-07-31 | $291,890 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2017-07-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2017-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2017-07-31 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2017-07-31 | $990,583 |
| Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3 | 2017-07-31 | No |
| Did the plan have assets held for investment | 2017-07-31 | 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 | 2017-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2017-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2017-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2017-07-31 | Disclaimer |
| Accountancy firm name | 2017-07-31 | HOWE & COMPANY, CPA, P.C. |
| Accountancy firm EIN | 2017-07-31 | 431069087 |
| 2016 : LEWIS, RICE & FINGERSH, LLC 401K SAVINGS PLAN 2016 401k financial data |
|---|
| Total income from all sources (including contributions) | 2016-07-31 | $3,705,113 |
| Total of all expenses incurred | 2016-07-31 | $1,940,002 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2016-07-31 | $1,904,669 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2016-07-31 | $2,514,384 |
| Value of total assets at end of year | 2016-07-31 | $44,303,513 |
| Value of total assets at beginning of year | 2016-07-31 | $42,538,402 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2016-07-31 | $35,333 |
| Total interest from all sources | 2016-07-31 | $7,947 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2016-07-31 | No |
| Was this plan covered by a fidelity bond | 2016-07-31 | Yes |
| Value of fidelity bond cover | 2016-07-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2016-07-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2016-07-31 | No |
| Contributions received from participants | 2016-07-31 | $2,471,018 |
| Participant contributions at end of year | 2016-07-31 | $279,214 |
| Participant contributions at beginning of year | 2016-07-31 | $156,727 |
| Participant contributions at end of year | 2016-07-31 | $28,180 |
| Participant contributions at beginning of year | 2016-07-31 | $19,332 |
| Assets. Other investments not covered elsewhere at end of year | 2016-07-31 | $13,476,660 |
| Assets. Other investments not covered elsewhere at beginning of year | 2016-07-31 | $11,905,116 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2016-07-31 | $43,366 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2016-07-31 | $18,159 |
| Other income not declared elsewhere | 2016-07-31 | $543,550 |
| Administrative expenses (other) incurred | 2016-07-31 | $473 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2016-07-31 | No |
| Value of net income/loss | 2016-07-31 | $1,765,111 |
| Value of net assets at end of year (total assets less liabilities) | 2016-07-31 | $44,303,513 |
| Value of net assets at beginning of year (total assets less liabilities) | 2016-07-31 | $42,538,402 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2016-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2016-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2016-07-31 | No |
| Assets. partnership/joint venture interests at end of year | 2016-07-31 | $371,501 |
| Assets. partnership/joint venture interests at beginning of year | 2016-07-31 | $304,988 |
| Investment advisory and management fees | 2016-07-31 | $34,860 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2016-07-31 | $24,577,687 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2016-07-31 | $24,370,104 |
| Interest on participant loans | 2016-07-31 | $7,947 |
| Value of interest in common/collective trusts at end of year | 2016-07-31 | $5,542,062 |
| Value of interest in common/collective trusts at beginning of year | 2016-07-31 | $5,753,401 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2016-07-31 | $10,050 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2016-07-31 | $28,734 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2016-07-31 | $28,734 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2016-07-31 | $482,750 |
| Net investment gain or loss from common/collective trusts | 2016-07-31 | $156,482 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2016-07-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2016-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2016-07-31 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2016-07-31 | $1,904,669 |
| 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 | 2016-07-31 | No |
| Did the plan have assets held for investment | 2016-07-31 | 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 | 2016-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2016-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2016-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2016-07-31 | Disclaimer |
| Accountancy firm name | 2016-07-31 | HOWE & COMPANY, CPA, P.C. |
| Accountancy firm EIN | 2016-07-31 | 431069087 |
| 2015 : LEWIS, RICE & FINGERSH, LLC 401K SAVINGS PLAN 2015 401k financial data |
|---|
| Total income from all sources (including contributions) | 2015-07-31 | $4,853,671 |
| Total of all expenses incurred | 2015-07-31 | $3,497,639 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2015-07-31 | $3,460,929 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2015-07-31 | $2,680,821 |
| Value of total assets at end of year | 2015-07-31 | $42,538,402 |
| Value of total assets at beginning of year | 2015-07-31 | $41,182,370 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2015-07-31 | $36,710 |
| Total interest from all sources | 2015-07-31 | $7,564 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2015-07-31 | No |
| Was this plan covered by a fidelity bond | 2015-07-31 | Yes |
| Value of fidelity bond cover | 2015-07-31 | $1,000,000 |
| If this is an individual account plan, was there a blackout period | 2015-07-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2015-07-31 | No |
| Contributions received from participants | 2015-07-31 | $2,433,240 |
| Participant contributions at end of year | 2015-07-31 | $156,727 |
| Participant contributions at beginning of year | 2015-07-31 | $179,799 |
| Participant contributions at end of year | 2015-07-31 | $19,332 |
| Participant contributions at beginning of year | 2015-07-31 | $20,840 |
| Assets. Other investments not covered elsewhere at end of year | 2015-07-31 | $11,905,116 |
| Assets. Other investments not covered elsewhere at beginning of year | 2015-07-31 | $13,646,725 |
| Income. Received or receivable in cash from other sources (including rollovers) | 2015-07-31 | $247,581 |
| Value of other receiveables (less allowance for doubtful accounts) at beginning of year | 2015-07-31 | $2,499 |
| Other income not declared elsewhere | 2015-07-31 | $409,092 |
| Administrative expenses (other) incurred | 2015-07-31 | $287 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2015-07-31 | No |
| Value of net income/loss | 2015-07-31 | $1,356,032 |
| Value of net assets at end of year (total assets less liabilities) | 2015-07-31 | $42,538,402 |
| Value of net assets at beginning of year (total assets less liabilities) | 2015-07-31 | $41,182,370 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2015-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2015-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2015-07-31 | No |
| Assets. partnership/joint venture interests at end of year | 2015-07-31 | $304,988 |
| Assets. partnership/joint venture interests at beginning of year | 2015-07-31 | $349,988 |
| Investment advisory and management fees | 2015-07-31 | $36,423 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2015-07-31 | $24,370,104 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2015-07-31 | $21,626,897 |
| Interest on participant loans | 2015-07-31 | $7,564 |
| Value of interest in common/collective trusts at end of year | 2015-07-31 | $5,753,401 |
| Value of interest in common/collective trusts at beginning of year | 2015-07-31 | $5,347,513 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2015-07-31 | $28,734 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2015-07-31 | $8,109 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2015-07-31 | $8,109 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2015-07-31 | $1,496,293 |
| Net investment gain or loss from common/collective trusts | 2015-07-31 | $259,901 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2015-07-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2015-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2015-07-31 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2015-07-31 | $3,460,929 |
| 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 | 2015-07-31 | No |
| Did the plan have assets held for investment | 2015-07-31 | 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 | 2015-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2015-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2015-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2015-07-31 | Disclaimer |
| Accountancy firm name | 2015-07-31 | HOWE & COMPANY, CPA, P.C. |
| Accountancy firm EIN | 2015-07-31 | 431069087 |
| 2014 : LEWIS, RICE & FINGERSH, LLC 401K SAVINGS PLAN 2014 401k financial data |
|---|
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2014-07-31 | $49,988 |
| Total income from all sources (including contributions) | 2014-07-31 | $6,197,581 |
| Total of all expenses incurred | 2014-07-31 | $2,817,509 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2014-07-31 | $2,778,115 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2014-07-31 | $2,229,461 |
| Value of total assets at end of year | 2014-07-31 | $41,182,370 |
| Value of total assets at beginning of year | 2014-07-31 | $37,852,286 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2014-07-31 | $39,394 |
| Total interest from all sources | 2014-07-31 | $8,525 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2014-07-31 | No |
| Was this plan covered by a fidelity bond | 2014-07-31 | Yes |
| Value of fidelity bond cover | 2014-07-31 | $4,000,000 |
| If this is an individual account plan, was there a blackout period | 2014-07-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2014-07-31 | No |
| Contributions received from participants | 2014-07-31 | $2,229,461 |
| Participant contributions at end of year | 2014-07-31 | $179,799 |
| Participant contributions at beginning of year | 2014-07-31 | $232,797 |
| Participant contributions at end of year | 2014-07-31 | $20,840 |
| Participant contributions at beginning of year | 2014-07-31 | $2,916 |
| Assets. Other investments not covered elsewhere at end of year | 2014-07-31 | $13,646,725 |
| Assets. Other investments not covered elsewhere at beginning of year | 2014-07-31 | $12,436,013 |
| Value of other receiveables (less allowance for doubtful accounts) at end of year | 2014-07-31 | $2,499 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2014-07-31 | $49,988 |
| Other income not declared elsewhere | 2014-07-31 | $1,250,913 |
| Administrative expenses (other) incurred | 2014-07-31 | $296 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2014-07-31 | No |
| Value of net income/loss | 2014-07-31 | $3,380,072 |
| Value of net assets at end of year (total assets less liabilities) | 2014-07-31 | $41,182,370 |
| Value of net assets at beginning of year (total assets less liabilities) | 2014-07-31 | $37,802,298 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2014-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2014-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2014-07-31 | No |
| Assets. partnership/joint venture interests at end of year | 2014-07-31 | $349,988 |
| Assets. partnership/joint venture interests at beginning of year | 2014-07-31 | $324,988 |
| Investment advisory and management fees | 2014-07-31 | $39,098 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2014-07-31 | $21,626,897 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2014-07-31 | $19,257,853 |
| Interest on participant loans | 2014-07-31 | $8,525 |
| Value of interest in common/collective trusts at end of year | 2014-07-31 | $5,347,513 |
| Value of interest in common/collective trusts at beginning of year | 2014-07-31 | $5,595,903 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2014-07-31 | $8,109 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2014-07-31 | $1,816 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2014-07-31 | $1,816 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2014-07-31 | $2,450,680 |
| Net investment gain or loss from common/collective trusts | 2014-07-31 | $258,002 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2014-07-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2014-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2014-07-31 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2014-07-31 | $2,778,115 |
| 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 | 2014-07-31 | No |
| Did the plan have assets held for investment | 2014-07-31 | 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 | 2014-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2014-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2014-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2014-07-31 | Disclaimer |
| Accountancy firm name | 2014-07-31 | HOWE & COMPANY, CPA, P.C. |
| Accountancy firm EIN | 2014-07-31 | 431069087 |
| 2013 : LEWIS, RICE & FINGERSH, LLC 401K SAVINGS PLAN 2013 401k financial data |
|---|
| Total unrealized appreciation/depreciation of assets | 2013-07-31 | $0 |
| Total transfer of assets to this plan | 2013-07-31 | $12,580 |
| Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-07-31 | $49,988 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2013-07-31 | $0 |
| Total income from all sources (including contributions) | 2013-07-31 | $6,886,469 |
| Total loss/gain on sale of assets | 2013-07-31 | $0 |
| Total of all expenses incurred | 2013-07-31 | $3,810,342 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2013-07-31 | $3,781,164 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2013-07-31 | $2,240,657 |
| Value of total assets at end of year | 2013-07-31 | $37,852,286 |
| Value of total assets at beginning of year | 2013-07-31 | $34,713,591 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2013-07-31 | $29,178 |
| Total interest from all sources | 2013-07-31 | $11,261 |
| Total dividends received (eg from common stock, registered investment company shares) | 2013-07-31 | $0 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2013-07-31 | No |
| Was this plan covered by a fidelity bond | 2013-07-31 | Yes |
| Value of fidelity bond cover | 2013-07-31 | $4,000,000 |
| If this is an individual account plan, was there a blackout period | 2013-07-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2013-07-31 | No |
| Contributions received from participants | 2013-07-31 | $2,240,657 |
| Participant contributions at end of year | 2013-07-31 | $232,797 |
| Participant contributions at beginning of year | 2013-07-31 | $253,630 |
| Participant contributions at end of year | 2013-07-31 | $2,916 |
| Participant contributions at beginning of year | 2013-07-31 | $23,630 |
| Assets. Other investments not covered elsewhere at end of year | 2013-07-31 | $12,436,013 |
| Assets. Other investments not covered elsewhere at beginning of year | 2013-07-31 | $13,063,136 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year | 2013-07-31 | $49,988 |
| Other income not declared elsewhere | 2013-07-31 | $1,057,667 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2013-07-31 | No |
| Value of net income/loss | 2013-07-31 | $3,076,127 |
| Value of net assets at end of year (total assets less liabilities) | 2013-07-31 | $37,802,298 |
| Value of net assets at beginning of year (total assets less liabilities) | 2013-07-31 | $34,713,591 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2013-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2013-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2013-07-31 | No |
| Assets. partnership/joint venture interests at end of year | 2013-07-31 | $324,988 |
| Assets. partnership/joint venture interests at beginning of year | 2013-07-31 | $275,000 |
| Investment advisory and management fees | 2013-07-31 | $29,178 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2013-07-31 | $19,257,853 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2013-07-31 | $15,186,876 |
| Interest on participant loans | 2013-07-31 | $11,261 |
| Value of interest in common/collective trusts at end of year | 2013-07-31 | $5,595,903 |
| Value of interest in common/collective trusts at beginning of year | 2013-07-31 | $5,851,162 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2013-07-31 | $1,816 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2013-07-31 | $60,157 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2013-07-31 | $60,157 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2013-07-31 | $3,148,046 |
| Net investment gain or loss from common/collective trusts | 2013-07-31 | $428,838 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2013-07-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2013-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2013-07-31 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2013-07-31 | $3,781,164 |
| 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 | 2013-07-31 | No |
| Did the plan have assets held for investment | 2013-07-31 | 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 | 2013-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2013-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2013-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2013-07-31 | Disclaimer |
| Accountancy firm name | 2013-07-31 | HOWE & COMPANY, CPA, P.C. |
| Accountancy firm EIN | 2013-07-31 | 431069087 |
| 2012 : LEWIS, RICE & FINGERSH, LLC 401K SAVINGS PLAN 2012 401k financial data |
|---|
| Total transfer of assets to this plan | 2012-07-31 | $2,015 |
| Total income from all sources (including contributions) | 2012-07-31 | $2,420,347 |
| Total of all expenses incurred | 2012-07-31 | $1,114,439 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2012-07-31 | $1,091,627 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2012-07-31 | $2,207,003 |
| Value of total assets at end of year | 2012-07-31 | $34,713,591 |
| Value of total assets at beginning of year | 2012-07-31 | $33,405,668 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2012-07-31 | $22,812 |
| Total interest from all sources | 2012-07-31 | $10,312 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2012-07-31 | No |
| Was this plan covered by a fidelity bond | 2012-07-31 | Yes |
| Value of fidelity bond cover | 2012-07-31 | $4,000,000 |
| If this is an individual account plan, was there a blackout period | 2012-07-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2012-07-31 | No |
| Contributions received from participants | 2012-07-31 | $2,207,003 |
| Participant contributions at end of year | 2012-07-31 | $253,630 |
| Participant contributions at beginning of year | 2012-07-31 | $245,830 |
| Participant contributions at end of year | 2012-07-31 | $23,630 |
| Participant contributions at beginning of year | 2012-07-31 | $20,888 |
| Assets. Other investments not covered elsewhere at end of year | 2012-07-31 | $13,063,136 |
| Assets. Other investments not covered elsewhere at beginning of year | 2012-07-31 | $12,842,075 |
| Other income not declared elsewhere | 2012-07-31 | $-63,314 |
| Administrative expenses (other) incurred | 2012-07-31 | $696 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2012-07-31 | No |
| Value of net income/loss | 2012-07-31 | $1,305,908 |
| Value of net assets at end of year (total assets less liabilities) | 2012-07-31 | $34,713,591 |
| Value of net assets at beginning of year (total assets less liabilities) | 2012-07-31 | $33,405,668 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2012-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2012-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2012-07-31 | No |
| Assets. partnership/joint venture interests at end of year | 2012-07-31 | $275,000 |
| Assets. partnership/joint venture interests at beginning of year | 2012-07-31 | $245,000 |
| Investment advisory and management fees | 2012-07-31 | $22,116 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2012-07-31 | $15,186,876 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2012-07-31 | $14,702,896 |
| Interest on participant loans | 2012-07-31 | $10,312 |
| Value of interest in common/collective trusts at end of year | 2012-07-31 | $5,851,162 |
| Value of interest in common/collective trusts at beginning of year | 2012-07-31 | $5,289,981 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2012-07-31 | $60,157 |
| Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year | 2012-07-31 | $58,998 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year | 2012-07-31 | $58,998 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2012-07-31 | $79,372 |
| Net investment gain or loss from common/collective trusts | 2012-07-31 | $186,974 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2012-07-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2012-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2012-07-31 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2012-07-31 | $1,091,627 |
| 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 | 2012-07-31 | No |
| Did the plan have assets held for investment | 2012-07-31 | 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 | 2012-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2012-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2012-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2012-07-31 | Disclaimer |
| Accountancy firm name | 2012-07-31 | HOWE & COMPANY, CPA, P.C. |
| Accountancy firm EIN | 2012-07-31 | 431069087 |
| 2011 : LEWIS, RICE & FINGERSH, LLC 401K SAVINGS PLAN 2011 401k financial data |
|---|
| Total transfer of assets to this plan | 2011-07-31 | $0 |
| Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities) | 2011-07-31 | $40,905 |
| Total income from all sources (including contributions) | 2011-07-31 | $6,315,732 |
| Total of all expenses incurred | 2011-07-31 | $1,353,110 |
| Benefit payments and payments to participlants,beneficiaries,insurance carriers and others | 2011-07-31 | $1,327,641 |
| Value of total corrective distributions | 2011-07-31 | $0 |
| Total contributions o plan (from employers,participants, others, non cash contrinutions) | 2011-07-31 | $2,240,456 |
| Value of total assets at end of year | 2011-07-31 | $33,297,845 |
| Value of total assets at beginning of year | 2011-07-31 | $28,376,128 |
| Total of administrative expenses incurred including professional, contract, advisory and management fees | 2011-07-31 | $25,469 |
| Total interest from all sources | 2011-07-31 | $11,394 |
| Has a resolution to terminate the plan been adopted during the plan year or any prior plan year | 2011-07-31 | No |
| Was this plan covered by a fidelity bond | 2011-07-31 | Yes |
| Value of fidelity bond cover | 2011-07-31 | $4,000,000 |
| If this is an individual account plan, was there a blackout period | 2011-07-31 | No |
| Were there any nonexempt tranactions with any party-in-interest | 2011-07-31 | No |
| Contributions received from participants | 2011-07-31 | $2,240,456 |
| Participant contributions at end of year | 2011-07-31 | $245,830 |
| Participant contributions at beginning of year | 2011-07-31 | $204,849 |
| Participant contributions at end of year | 2011-07-31 | $20,888 |
| Participant contributions at beginning of year | 2011-07-31 | $18,535 |
| Assets. Other investments not covered elsewhere at end of year | 2011-07-31 | $12,842,075 |
| Assets. Other investments not covered elsewhere at beginning of year | 2011-07-31 | $10,513,752 |
| Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year | 2011-07-31 | $40,905 |
| Other income not declared elsewhere | 2011-07-31 | $1,719,336 |
| Administrative expenses (other) incurred | 2011-07-31 | $960 |
| Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser | 2011-07-31 | No |
| Value of net income/loss | 2011-07-31 | $4,962,622 |
| Value of net assets at end of year (total assets less liabilities) | 2011-07-31 | $33,297,845 |
| Value of net assets at beginning of year (total assets less liabilities) | 2011-07-31 | $28,335,223 |
| Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond) | 2011-07-31 | No |
| Were any loans by the plan or fixed income obligations due to the plan in default | 2011-07-31 | No |
| Were any leases to which the plan was party in default or uncollectible | 2011-07-31 | No |
| Assets. partnership/joint venture interests at end of year | 2011-07-31 | $245,000 |
| Assets. partnership/joint venture interests at beginning of year | 2011-07-31 | $95,000 |
| Investment advisory and management fees | 2011-07-31 | $24,509 |
| Value of interest in registered invesment companies (eg mutual funds) at end of year | 2011-07-31 | $14,702,896 |
| Value of interest in registered invesment companies (eg mutual funds) at beginning of year | 2011-07-31 | $8,467,200 |
| Value of interest in pooled separate accounts at end of year | 2011-07-31 | $0 |
| Value of interest in pooled separate accounts at beginning of year | 2011-07-31 | $3,269,344 |
| Interest on participant loans | 2011-07-31 | $11,394 |
| Value of interest in common/collective trusts at end of year | 2011-07-31 | $5,182,158 |
| Value of interest in common/collective trusts at beginning of year | 2011-07-31 | $5,807,448 |
| Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year | 2011-07-31 | $58,998 |
| Net investment gain/loss from registered investment companies (e.g. mutual funds) | 2011-07-31 | $2,097,790 |
| Net investment gain/loss from pooled separate accounts | 2011-07-31 | $-81,376 |
| Net investment gain or loss from common/collective trusts | 2011-07-31 | $328,132 |
| Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets | 2011-07-31 | No |
| Was there a failure to transmit to the plan any participant contributions | 2011-07-31 | No |
| Has the plan failed to provide any benefit when due under the plan | 2011-07-31 | No |
| Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers | 2011-07-31 | $1,327,641 |
| 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 | 2011-07-31 | No |
| Did the plan have assets held for investment | 2011-07-31 | 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 | 2011-07-31 | No |
| Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC | 2011-07-31 | No |
| Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d) | 2011-07-31 | Yes |
| Opinion of an independent qualified public accountant for this plan | 2011-07-31 | Disclaimer |
| Accountancy firm name | 2011-07-31 | HOWE & COMPANY, CPA, P.C. |
| Accountancy firm EIN | 2011-07-31 | 431069087 |
| 2010 : LEWIS, RICE & FINGERSH, LLC 401K SAVINGS PLAN 2010 401k financial data |
|---|
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2010-07-31 | $0 |
