SWARTZ & SONS DISTRIBUTORS, INC. has sponsored the creation of one or more 401k plans.
Submission information for form 5500 for 401k plan SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN
401k plan membership statisitcs for SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN
| Measure | Date | Value |
|---|
| 2014: SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2014 401k membership |
|---|
| Total participants, beginning-of-year | 2014-07-01 | 83 |
| Total number of active participants reported on line 7a of the Form 5500 | 2014-07-01 | 60 |
| Number of retired or separated participants receiving benefits | 2014-07-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2014-07-01 | 22 |
| Total of all active and inactive participants | 2014-07-01 | 82 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2014-07-01 | 0 |
| Total participants | 2014-07-01 | 82 |
| Number of participants with account balances | 2014-07-01 | 75 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2014-07-01 | 1 |
| 2013: SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2013 401k membership |
|---|
| Total participants, beginning-of-year | 2013-07-01 | 86 |
| Total number of active participants reported on line 7a of the Form 5500 | 2013-07-01 | 57 |
| Number of retired or separated participants receiving benefits | 2013-07-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2013-07-01 | 21 |
| Total of all active and inactive participants | 2013-07-01 | 78 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2013-07-01 | 0 |
| Total participants | 2013-07-01 | 78 |
| Number of participants with account balances | 2013-07-01 | 72 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2013-07-01 | 2 |
| 2012: SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2012 401k membership |
|---|
| Total participants, beginning-of-year | 2012-07-01 | 81 |
| Total number of active participants reported on line 7a of the Form 5500 | 2012-07-01 | 60 |
| Number of retired or separated participants receiving benefits | 2012-07-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2012-07-01 | 19 |
| Total of all active and inactive participants | 2012-07-01 | 79 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2012-07-01 | 1 |
| Total participants | 2012-07-01 | 80 |
| Number of participants with account balances | 2012-07-01 | 78 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2012-07-01 | 2 |
| 2011: SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2011 401k membership |
|---|
| Total participants, beginning-of-year | 2011-07-01 | 82 |
| Total number of active participants reported on line 7a of the Form 5500 | 2011-07-01 | 59 |
| Number of retired or separated participants receiving benefits | 2011-07-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2011-07-01 | 19 |
| Total of all active and inactive participants | 2011-07-01 | 78 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2011-07-01 | 0 |
| Total participants | 2011-07-01 | 78 |
| Number of participants with account balances | 2011-07-01 | 73 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2011-07-01 | 0 |
| 2010: SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2010 401k membership |
|---|
| Total participants, beginning-of-year | 2010-07-01 | 78 |
| Total number of active participants reported on line 7a of the Form 5500 | 2010-07-01 | 54 |
| Number of retired or separated participants receiving benefits | 2010-07-01 | 0 |
| Number of other retired or separated participants entitled to future benefits | 2010-07-01 | 24 |
| Total of all active and inactive participants | 2010-07-01 | 78 |
| Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits | 2010-07-01 | 1 |
| Total participants | 2010-07-01 | 79 |
| Number of participants with account balances | 2010-07-01 | 79 |
| Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested | 2010-07-01 | 4 |
| Measure | Date | Value |
|---|
| 2015 : SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2015 401k financial data |
|---|
| Total income from all sources | 2015-06-30 | $376,319 |
| Expenses. Total of all expenses incurred | 2015-06-30 | $176,178 |
| Benefits paid (including direct rollovers) | 2015-06-30 | $175,950 |
| Total plan assets at end of year | 2015-06-30 | $7,853,499 |
| Total plan assets at beginning of year | 2015-06-30 | $7,653,358 |
| Value of fidelity bond covering the plan | 2015-06-30 | $500,000 |
| Total contributions received or receivable from participants | 2015-06-30 | $163,605 |
| Contributions received from other sources (not participants or employers) | 2015-06-30 | $0 |
| Other income received | 2015-06-30 | $99,811 |
| Net income (gross income less expenses) | 2015-06-30 | $200,141 |
| Net plan assets at end of year (total assets less liabilities) | 2015-06-30 | $7,853,499 |
| Net plan assets at beginning of year (total assets less liabilities) | 2015-06-30 | $7,653,358 |
| Assets. Value of real-estate (other than employer real property) | 2015-06-30 | $5,000 |
| Total contributions received or receivable from employer(s) | 2015-06-30 | $112,903 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2015-06-30 | $228 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2015-06-30 | $0 |
| 2014 : SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2014 401k financial data |
|---|
| Total income from all sources | 2014-06-30 | $1,575,641 |
| Expenses. Total of all expenses incurred | 2014-06-30 | $1,110,109 |
| Benefits paid (including direct rollovers) | 2014-06-30 | $1,084,770 |
| Total plan assets at end of year | 2014-06-30 | $7,653,358 |
| Total plan assets at beginning of year | 2014-06-30 | $7,187,826 |
| Value of fidelity bond covering the plan | 2014-06-30 | $500,000 |
| Total contributions received or receivable from participants | 2014-06-30 | $136,033 |
| Expenses. Other expenses not covered elsewhere | 2014-06-30 | $2,424 |
| Contributions received from other sources (not participants or employers) | 2014-06-30 | $51,014 |
| Other income received | 2014-06-30 | $1,092,651 |
| Net income (gross income less expenses) | 2014-06-30 | $465,532 |
| Net plan assets at end of year (total assets less liabilities) | 2014-06-30 | $7,653,358 |
| Net plan assets at beginning of year (total assets less liabilities) | 2014-06-30 | $7,187,826 |
| Assets. Value of real-estate (other than employer real property) | 2014-06-30 | $5,000 |
| Total contributions received or receivable from employer(s) | 2014-06-30 | $295,943 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2014-06-30 | $22,915 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2014-06-30 | $0 |
| 2013 : SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2013 401k financial data |
|---|
| Total income from all sources | 2013-06-30 | $1,144,373 |
| Expenses. Total of all expenses incurred | 2013-06-30 | $723,721 |
| Benefits paid (including direct rollovers) | 2013-06-30 | $695,807 |
| Total plan assets at end of year | 2013-06-30 | $7,187,826 |
| Total plan assets at beginning of year | 2013-06-30 | $6,767,174 |
| Value of fidelity bond covering the plan | 2013-06-30 | $500,000 |
| Total contributions received or receivable from participants | 2013-06-30 | $159,411 |
| Other income received | 2013-06-30 | $659,513 |
| Net income (gross income less expenses) | 2013-06-30 | $420,652 |
| Net plan assets at end of year (total assets less liabilities) | 2013-06-30 | $7,187,826 |
| Net plan assets at beginning of year (total assets less liabilities) | 2013-06-30 | $6,767,174 |
| Assets. Value of real-estate (other than employer real property) | 2013-06-30 | $5,000 |
| Total contributions received or receivable from employer(s) | 2013-06-30 | $325,449 |
| Value of corrective distributions | 2013-06-30 | $1,002 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2013-06-30 | $26,912 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2013-06-30 | $0 |
| 2012 : SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2012 401k financial data |
|---|
| Total plan liabilities at beginning of year | 2012-06-30 | $936 |
| Total income from all sources | 2012-06-30 | $350,305 |
| Expenses. Total of all expenses incurred | 2012-06-30 | $140,752 |
| Benefits paid (including direct rollovers) | 2012-06-30 | $116,716 |
| Total plan assets at end of year | 2012-06-30 | $6,767,174 |
| Total plan assets at beginning of year | 2012-06-30 | $6,558,557 |
| Value of fidelity bond covering the plan | 2012-06-30 | $500,000 |
| Total contributions received or receivable from participants | 2012-06-30 | $156,934 |
| Contributions received from other sources (not participants or employers) | 2012-06-30 | $4,576 |
| Other income received | 2012-06-30 | $-124,618 |
| Net income (gross income less expenses) | 2012-06-30 | $209,553 |
| Net plan assets at end of year (total assets less liabilities) | 2012-06-30 | $6,767,174 |
| Net plan assets at beginning of year (total assets less liabilities) | 2012-06-30 | $6,557,621 |
| Assets. Value of real-estate (other than employer real property) | 2012-06-30 | $10,000 |
| Total contributions received or receivable from employer(s) | 2012-06-30 | $313,413 |
| Expenses. Administrative service providers (salaries,fees and commissions) | 2012-06-30 | $24,036 |
| Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities | 2012-06-30 | $0 |
| 2011 : SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2011 401k financial data |
|---|
| Total plan liabilities at end of year | 2011-06-30 | $936 |
| Total income from all sources | 2011-06-30 | $1,209,306 |
| Expenses. Total of all expenses incurred | 2011-06-30 | $53,443 |
| Benefits paid (including direct rollovers) | 2011-06-30 | $27,455 |
| Total plan assets at end of year | 2011-06-30 | $6,558,557 |
| Total plan assets at beginning of year | 2011-06-30 | $5,401,758 |
| Value of fidelity bond covering the plan | 2011-06-30 | $500,000 |
| Total contributions received or receivable from participants | 2011-06-30 | $143,974 |
| Expenses. Other expenses not covered elsewhere | 2011-06-30 | $25,988 |
| Other income received | 2011-06-30 | $761,256 |
| Net income (gross income less expenses) | 2011-06-30 | $1,155,863 |
| Net plan assets at end of year (total assets less liabilities) | 2011-06-30 | $6,557,621 |
| Net plan assets at beginning of year (total assets less liabilities) | 2011-06-30 | $5,401,758 |
| Assets. Value of real-estate (other than employer real property) | 2011-06-30 | $10,000 |
| Total contributions received or receivable from employer(s) | 2011-06-30 | $304,076 |
| 2014: SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2014 form 5500 responses |
|---|
| 2014-07-01 | Type of plan entity | Single employer plan |
| 2014-07-01 | Submission has been amended | No |
| 2014-07-01 | This submission is the final filing | No |
| 2014-07-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2014-07-01 | Plan is a collectively bargained plan | No |
| 2014-07-01 | Plan funding arrangement – Insurance | Yes |
| 2014-07-01 | Plan funding arrangement – Trust | Yes |
| 2014-07-01 | Plan benefit arrangement – Insurance | Yes |
| 2014-07-01 | Plan benefit arrangement - Trust | Yes |
| 2013: SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2013 form 5500 responses |
|---|
| 2013-07-01 | Type of plan entity | Single employer plan |
| 2013-07-01 | Submission has been amended | No |
| 2013-07-01 | This submission is the final filing | No |
| 2013-07-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2013-07-01 | Plan is a collectively bargained plan | No |
| 2013-07-01 | Plan funding arrangement – Insurance | Yes |
| 2013-07-01 | Plan funding arrangement – Trust | Yes |
| 2013-07-01 | Plan benefit arrangement – Insurance | Yes |
| 2013-07-01 | Plan benefit arrangement - Trust | Yes |
| 2012: SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2012 form 5500 responses |
|---|
| 2012-07-01 | Type of plan entity | Single employer plan |
| 2012-07-01 | Submission has been amended | No |
| 2012-07-01 | This submission is the final filing | No |
| 2012-07-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2012-07-01 | Plan is a collectively bargained plan | No |
| 2012-07-01 | Plan funding arrangement – Insurance | Yes |
| 2012-07-01 | Plan funding arrangement – Trust | Yes |
| 2012-07-01 | Plan benefit arrangement – Insurance | Yes |
| 2012-07-01 | Plan benefit arrangement - Trust | Yes |
| 2011: SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2011 form 5500 responses |
|---|
| 2011-07-01 | Type of plan entity | Single employer plan |
| 2011-07-01 | Submission has been amended | No |
| 2011-07-01 | This submission is the final filing | No |
| 2011-07-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2011-07-01 | Plan is a collectively bargained plan | No |
| 2011-07-01 | Plan funding arrangement – Insurance | Yes |
| 2011-07-01 | Plan funding arrangement – Trust | Yes |
| 2011-07-01 | Plan benefit arrangement – Insurance | Yes |
| 2011-07-01 | Plan benefit arrangement - Trust | Yes |
| 2010: SWARTZ & SONS DISTRIBUTORS, INC. 401(K) PROFIT SHARING PLAN 2010 form 5500 responses |
|---|
| 2010-07-01 | Type of plan entity | Single employer plan |
| 2010-07-01 | Submission has been amended | No |
| 2010-07-01 | This submission is the final filing | No |
| 2010-07-01 | This return/report is a short plan year return/report (less than 12 months) | No |
| 2010-07-01 | Plan is a collectively bargained plan | No |
| 2010-07-01 | Plan funding arrangement – Insurance | Yes |
| 2010-07-01 | Plan funding arrangement – Trust | Yes |
| 2010-07-01 | Plan benefit arrangement – Insurance | Yes |
| 2010-07-01 | Plan benefit arrangement - Trust | Yes |
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 12993 |
| Policy instance | 1 |
| Insurance contract or identification number | 12993 | | Number of Individuals Covered | 78 | | Insurance policy start date | 2014-07-01 | | Insurance policy end date | 2015-06-30 | | Total amount of commissions paid to insurance broker | USD $20,142 | | Total amount of fees paid to insurance company | USD $2,406 | | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | | Commission paid to Insurance Broker | USD $20,142 | | Insurance broker organization code? | 3 | | Amount paid for insurance broker fees | 2298 | | Additional information about fees paid to insurance broker | TPA FEES PAID, TPA COMPENSATION, AND OTHER ALLOWANCES | | Insurance broker name | MORGAN STANLEY SMITH BARNEY |
|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 12993 |
| Policy instance | 1 |
| Insurance contract or identification number | 12993 | | Number of Individuals Covered | 76 | | Insurance policy start date | 2013-07-01 | | Insurance policy end date | 2014-06-30 | | Total amount of commissions paid to insurance broker | USD $17,221 | | Total amount of fees paid to insurance company | USD $2,449 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | | Contracts With Unallocated Funds Deposit Administration | 0 | | Are there contracts with unallocated funds for contracts of type immediate participation guarantee? | No | | Are there contracts with unallocated funds for contracts of type guaranteed investment? | No | | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | No | | Health Insurance Welfare Benefit | No | | Dental Insurance Welfare Benefit | No | | Vision Insurance Welfare Benefit | No | | Life Insurance Welfare Benefit | No | | Temporary Disability Insurance Welfare Benefit | No | | Long Term Disability Insurance Welfare Benefit | No | | Unemployment Insurance Welfare Benefit | No | | Were dividends or retroactive rate refunds paid in cash? | No | | Were dividends or retroactive rate refunds paid as a credit? | No | | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | | Commission paid to Insurance Broker | USD $17,221 | | Insurance broker organization code? | 3 | | Amount paid for insurance broker fees | 2326 | | Additional information about fees paid to insurance broker | TPA COMPENSATION & FEES | | Insurance broker name | VERISIGHT, INC |
|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 12993 |
| Policy instance | 1 |
| Insurance contract or identification number | 12993 | | Number of Individuals Covered | 76 | | Insurance policy start date | 2012-07-01 | | Insurance policy end date | 2013-06-30 | | Total amount of commissions paid to insurance broker | USD $18,927 | | Total amount of fees paid to insurance company | USD $2,420 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | | Contracts With Unallocated Funds Deposit Administration | 0 | | Are there contracts with unallocated funds for contracts of type immediate participation guarantee? | No | | Are there contracts with unallocated funds for contracts of type guaranteed investment? | No | | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | No | | Health Insurance Welfare Benefit | No | | Dental Insurance Welfare Benefit | No | | Vision Insurance Welfare Benefit | No | | Life Insurance Welfare Benefit | No | | Temporary Disability Insurance Welfare Benefit | No | | Long Term Disability Insurance Welfare Benefit | No | | Unemployment Insurance Welfare Benefit | No | | Were dividends or retroactive rate refunds paid in cash? | No | | Were dividends or retroactive rate refunds paid as a credit? | No | | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No | | Commission paid to Insurance Broker | USD $18,927 | | Additional information about fees paid to insurance broker | COMMISSIONS | | Insurance broker organization code? | 3 | | Amount paid for insurance broker fees | 2290 | | Insurance broker name | VERISIGHT, INC |
|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 12993 |
| Policy instance | 1 |
| Insurance contract or identification number | 12993 | | Number of Individuals Covered | 73 | | Insurance policy start date | 2011-07-01 | | Insurance policy end date | 2012-06-30 | | Total amount of commissions paid to insurance broker | USD $17,782 | | Total amount of fees paid to insurance company | USD $1,808 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | | Contracts With Unallocated Funds Deposit Administration | 0 | | Are there contracts with unallocated funds for contracts of type immediate participation guarantee? | No | | Are there contracts with unallocated funds for contracts of type guaranteed investment? | No | | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | No | | Health Insurance Welfare Benefit | No | | Dental Insurance Welfare Benefit | No | | Vision Insurance Welfare Benefit | No | | Life Insurance Welfare Benefit | No | | Temporary Disability Insurance Welfare Benefit | No | | Long Term Disability Insurance Welfare Benefit | No | | Unemployment Insurance Welfare Benefit | No | | Were dividends or retroactive rate refunds paid in cash? | No | | Were dividends or retroactive rate refunds paid as a credit? | No | | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No |
|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 ) |
| Policy contract number | 12993 |
| Policy instance | 1 |
| Insurance contract or identification number | 12993 | | Number of Individuals Covered | 75 | | Insurance policy start date | 2010-07-01 | | Insurance policy end date | 2011-06-30 | | Total amount of commissions paid to insurance broker | USD $14,664 | | Total amount of fees paid to insurance company | USD $1,543 | | Are there contracts with allocated funds for individual policies? | No | | Are there contracts with allocated funds for group deferred annuity? | No | | Are there contracts with allocated funds for types other than group deferred annuity or individual? | No | | Contract purchased, in whole or in part, to distribute benefits from a terminating plan | No | | Contracts With Unallocated Funds Deposit Administration | 0 | | Are there contracts with unallocated funds for contracts of type immediate participation guarantee? | No | | Are there contracts with unallocated funds for contracts of type guaranteed investment? | No | | Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment? | No | | Health Insurance Welfare Benefit | No | | Dental Insurance Welfare Benefit | No | | Vision Insurance Welfare Benefit | No | | Life Insurance Welfare Benefit | No | | Temporary Disability Insurance Welfare Benefit | No | | Long Term Disability Insurance Welfare Benefit | No | | Unemployment Insurance Welfare Benefit | No | | Were dividends or retroactive rate refunds paid in cash? | No | | Were dividends or retroactive rate refunds paid as a credit? | No | | Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500? | No |
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