401k Plan data: MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN plan

MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 401k Plan overview

Plan Name	MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN
Plan identification number	001

MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.

401k Sponsoring company profile

MONTGOMERY INVESTMENT MANAGEMENT, INC. has sponsored the creation of one or more 401k plans.

Company Name: MONTGOMERY INVESTMENT MANAGEMENT, INC.

Employer identification number (EIN): 521513769

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2022-01-01
001 2021-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-08-01

Plan Statistics for MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN

401k plan membership statisitcs for MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN

Measure Date Value
2017: MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 4
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 4
Number of participants with account balances 2017-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 4
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 4
Number of participants with account balances 2016-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 4
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 4
Number of participants with account balances 2015-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-08-01 0
Total number of active participants reported on line 7a of the Form 5500 2014-08-01 4
Number of retired or separated participants receiving benefits 2014-08-01 0
Number of other retired or separated participants entitled to future benefits 2014-08-01 0
Total of all active and inactive participants 2014-08-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-08-01 0
Total participants 2014-08-01 4
Number of participants with account balances 2014-08-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-08-01 0

Measure	Date	Value
2017: MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	4
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	4
Number of participants with account balances	2017-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	4
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	4
Number of participants with account balances	2016-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	4
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	4
Number of participants with account balances	2015-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-08-01	0
Total number of active participants reported on line 7a of the Form 5500	2014-08-01	4
Number of retired or separated participants receiving benefits	2014-08-01	0
Number of other retired or separated participants entitled to future benefits	2014-08-01	0
Total of all active and inactive participants	2014-08-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-08-01	0
Total participants	2014-08-01	4
Number of participants with account balances	2014-08-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-08-01	0

Financial Data on MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN

Measure	Date	Value
2017 : MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2017 401k financial data
Total plan liabilities at beginning of year	2017-12-31	$0
Total income from all sources	2017-12-31	$221,313
Expenses. Total of all expenses incurred	2017-12-31	$0
Total plan assets at end of year	2017-12-31	$1,700,924
Total plan assets at beginning of year	2017-12-31	$1,479,611
Value of fidelity bond covering the plan	2017-12-31	$500,000
Total contributions received or receivable from participants	2017-12-31	$90,000
Other income received	2017-12-31	$131,313
Net income (gross income less expenses)	2017-12-31	$221,313
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$1,700,924
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$1,479,611
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2016 401k financial data
Transfers to/from the plan	2016-12-31	$0
Total plan liabilities at end of year	2016-12-31	$0
Total plan liabilities at beginning of year	2016-12-31	$0
Total income from all sources	2016-12-31	$199,062
Expenses. Total of all expenses incurred	2016-12-31	$0
Benefits paid (including direct rollovers)	2016-12-31	$0
Total plan assets at end of year	2016-12-31	$1,479,611
Total plan assets at beginning of year	2016-12-31	$1,280,549
Value of fidelity bond covering the plan	2016-12-31	$500,000
Total contributions received or receivable from participants	2016-12-31	$90,000
Expenses. Other expenses not covered elsewhere	2016-12-31	$0
Contributions received from other sources (not participants or employers)	2016-12-31	$0
Other income received	2016-12-31	$109,062
Noncash contributions received	2016-12-31	$0
Net income (gross income less expenses)	2016-12-31	$199,062
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$1,479,611
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$1,280,549
Total contributions received or receivable from employer(s)	2016-12-31	$0
Value of certain deemed distributions of participant loans	2016-12-31	$0
Value of corrective distributions	2016-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2016-12-31	$0
2015 : MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2015 401k financial data
Transfers to/from the plan	2015-12-31	$0
Total plan liabilities at beginning of year	2015-12-31	$0
Total income from all sources	2015-12-31	$-4,970
Expenses. Total of all expenses incurred	2015-12-31	$0
Benefits paid (including direct rollovers)	2015-12-31	$0
Total plan assets at end of year	2015-12-31	$1,280,549
Total plan assets at beginning of year	2015-12-31	$1,285,519
Value of fidelity bond covering the plan	2015-12-31	$500,000
Total contributions received or receivable from participants	2015-12-31	$64,000
Expenses. Other expenses not covered elsewhere	2015-12-31	$0
Contributions received from other sources (not participants or employers)	2015-12-31	$0
Other income received	2015-12-31	$-68,970
Noncash contributions received	2015-12-31	$0
Net income (gross income less expenses)	2015-12-31	$-4,970
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$1,280,549
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$1,285,519
Total contributions received or receivable from employer(s)	2015-12-31	$0
Value of certain deemed distributions of participant loans	2015-12-31	$0
Value of corrective distributions	2015-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2015-12-31	$0
2014 : MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2014 401k financial data
Transfers to/from the plan	2014-12-31	$0
Total plan liabilities at end of year	2014-12-31	$0
Total plan liabilities at beginning of year	2014-12-31	$0
Total income from all sources	2014-12-31	$1,285,519
Expenses. Total of all expenses incurred	2014-12-31	$0
Benefits paid (including direct rollovers)	2014-12-31	$0
Total plan assets at end of year	2014-12-31	$1,285,519
Total plan assets at beginning of year	2014-12-31	$0
Value of fidelity bond covering the plan	2014-12-31	$500,000
Total contributions received or receivable from participants	2014-12-31	$0
Expenses. Other expenses not covered elsewhere	2014-12-31	$0
Contributions received from other sources (not participants or employers)	2014-12-31	$1,285,519
Other income received	2014-12-31	$0
Noncash contributions received	2014-12-31	$0
Net income (gross income less expenses)	2014-12-31	$1,285,519
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$1,285,519
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$0
Total contributions received or receivable from employer(s)	2014-12-31	$0
Value of certain deemed distributions of participant loans	2014-12-31	$0
Value of corrective distributions	2014-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$0

Form 5500 Responses for MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN

2017: MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: MONTGOMERY INVESTMENT MANAGEMENT, INC. 401K PROFIT SHARING PLAN 2014 form 5500 responses
2014-08-01	Type of plan entity	Single employer plan
2014-08-01	First time form 5500 has been submitted	Yes
2014-08-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2014-08-01	Plan funding arrangement – Trust	Yes
2014-08-01	Plan benefit arrangement - Trust	Yes

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Company Name:	MONTGOMERY INVESTMENT MANAGEMENT, INC.
Employer identification number (EIN):	521513769
NAIC Classification:	523120
NAIC Description:	Securities Brokerage

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2022-01-01
001	2021-01-01
001	2020-01-01
001	2019-01-01
001	2018-01-01
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-08-01