401k Plan data: W. H. EMMART & SON, INC. 401(K) PLAN plan

W. H. EMMART & SON, INC. 401(K) PLAN 401k Plan overview

Plan Name	W. H. EMMART & SON, INC. 401(K) PLAN
Plan identification number	002

W. H. EMMART & SON, INC. 401(K) 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.
Partial participant-directed account plan - Participants have the opportunity to direct the investment of a portion of 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.
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) received services of leased employees, as defined in Code section 414(n), during the plan year.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

W.H. EMMART & SON, INC. has sponsored the creation of one or more 401k plans.

Company Name: W.H. EMMART & SON, INC.

Employer identification number (EIN): 540661733

NAIC Classification: 454310
NAIC Description: Fuel Dealers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan W. H. EMMART & SON, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01 JAMES DUFF, JR 2023-08-11 JAMES DUFF, JR 2023-08-11
002 2021-01-01 JAMES DUFF 2022-09-28 JAMES DUFF 2022-09-28
002 2020-01-01 JAMES DUFF 2021-07-22
002 2018-01-01 HAL DUFF 2019-07-17 HAL DUFF 2019-07-17
002 2017-01-01 HAL DUFF 2018-04-18 HAL DUFF 2018-04-18
002 2016-01-01 HAL DUFF 2017-03-27 HAL DUFF 2017-03-27
002 2015-01-01 HAL DUFF 2016-03-23 HAL DUFF 2016-03-23
002 2014-01-01 HAL DUFF 2015-05-07 HAL DUFF 2015-05-07
002 2013-01-01 JAMES H DUFF 2014-07-28 JAMES H DUFF 2014-07-28
002 2012-01-01 JAMES H. DUFF, JR. JAMES H. DUFF, JR. 2013-05-23
002 2011-01-01 JAMES H. DUFF, JR. JAMES H. DUFF, JR. 2012-06-18
002 2010-01-01 JAMES H. DUFF, JR. JAMES H. DUFF, JR. 2011-07-26
002 2009-01-01 JAMES H. DUFF, JR. JAMES H. DUFF, JR. 2010-10-15
002 2009-01-01 JAMES H. DUFF, JR. JAMES H. DUFF, JR. 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2022-01-01	JAMES DUFF, JR	2023-08-11	JAMES DUFF, JR	2023-08-11
002	2021-01-01	JAMES DUFF	2022-09-28	JAMES DUFF	2022-09-28
002	2020-01-01	JAMES DUFF	2021-07-22
002	2018-01-01	HAL DUFF	2019-07-17	HAL DUFF	2019-07-17
002	2017-01-01	HAL DUFF	2018-04-18	HAL DUFF	2018-04-18
002	2016-01-01	HAL DUFF	2017-03-27	HAL DUFF	2017-03-27
002	2015-01-01	HAL DUFF	2016-03-23	HAL DUFF	2016-03-23
002	2014-01-01	HAL DUFF	2015-05-07	HAL DUFF	2015-05-07
002	2013-01-01	JAMES H DUFF	2014-07-28	JAMES H DUFF	2014-07-28
002	2012-01-01	JAMES H. DUFF, JR.		JAMES H. DUFF, JR.	2013-05-23
002	2011-01-01	JAMES H. DUFF, JR.		JAMES H. DUFF, JR.	2012-06-18
002	2010-01-01	JAMES H. DUFF, JR.		JAMES H. DUFF, JR.	2011-07-26
002	2009-01-01	JAMES H. DUFF, JR.		JAMES H. DUFF, JR.	2010-10-15
002	2009-01-01	JAMES H. DUFF, JR.		JAMES H. DUFF, JR.	2010-10-15

Plan Statistics for W. H. EMMART & SON, INC. 401(K) PLAN

401k plan membership statisitcs for W. H. EMMART & SON, INC. 401(K) PLAN

Measure Date Value
2012: W. H. EMMART & SON, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 89
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 79
Number of retired or separated participants receiving benefits 2012-01-01 2
Number of other retired or separated participants entitled to future benefits 2012-01-01 2
Total of all active and inactive participants 2012-01-01 83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 83
Number of participants with account balances 2012-01-01 40
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: W. H. EMMART & SON, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 87
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 80
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 2
Total of all active and inactive participants 2011-01-01 83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 83
Number of participants with account balances 2011-01-01 39
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 2
2010: W. H. EMMART & SON, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 86
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 78
Number of retired or separated participants receiving benefits 2010-01-01 1
Number of other retired or separated participants entitled to future benefits 2010-01-01 1
Total of all active and inactive participants 2010-01-01 80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 80
Number of participants with account balances 2010-01-01 39
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: W. H. EMMART & SON, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 79
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 77
Number of retired or separated participants receiving benefits 2009-01-01 1
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 79
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 79
Number of participants with account balances 2009-01-01 39
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2012: W. H. EMMART & SON, INC. 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	89
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	79
Number of retired or separated participants receiving benefits	2012-01-01	2
Number of other retired or separated participants entitled to future benefits	2012-01-01	2
Total of all active and inactive participants	2012-01-01	83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	83
Number of participants with account balances	2012-01-01	40
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: W. H. EMMART & SON, INC. 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	87
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	80
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	2
Total of all active and inactive participants	2011-01-01	83
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	83
Number of participants with account balances	2011-01-01	39
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	2
2010: W. H. EMMART & SON, INC. 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	86
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	78
Number of retired or separated participants receiving benefits	2010-01-01	1
Number of other retired or separated participants entitled to future benefits	2010-01-01	1
Total of all active and inactive participants	2010-01-01	80
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	80
Number of participants with account balances	2010-01-01	39
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: W. H. EMMART & SON, INC. 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	79
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	77
Number of retired or separated participants receiving benefits	2009-01-01	1
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	79
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	79
Number of participants with account balances	2009-01-01	39
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on W. H. EMMART & SON, INC. 401(K) PLAN

Measure	Date	Value
2012 : W. H. EMMART & SON, INC. 401(K) PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$306,340
Expenses. Total of all expenses incurred	2012-12-31	$118,163
Benefits paid (including direct rollovers)	2012-12-31	$116,563
Total plan assets at end of year	2012-12-31	$1,996,633
Total plan assets at beginning of year	2012-12-31	$1,808,456
Value of fidelity bond covering the plan	2012-12-31	$200,000
Total contributions received or receivable from participants	2012-12-31	$102,196
Expenses. Other expenses not covered elsewhere	2012-12-31	$1,600
Other income received	2012-12-31	$163,930
Net income (gross income less expenses)	2012-12-31	$188,177
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,996,633
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,808,456
Assets. Value of participant loans	2012-12-31	$32,800
Total contributions received or receivable from employer(s)	2012-12-31	$40,214
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
2011 : W. H. EMMART & SON, INC. 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$148,831
Expenses. Total of all expenses incurred	2011-12-31	$22,254
Benefits paid (including direct rollovers)	2011-12-31	$21,404
Total plan assets at end of year	2011-12-31	$1,808,456
Total plan assets at beginning of year	2011-12-31	$1,681,879
Value of fidelity bond covering the plan	2011-12-31	$200,000
Total contributions received or receivable from participants	2011-12-31	$104,243
Contributions received from other sources (not participants or employers)	2011-12-31	$231
Other income received	2011-12-31	$4,512
Net income (gross income less expenses)	2011-12-31	$126,577
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,808,456
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$1,681,879
Assets. Value of participant loans	2011-12-31	$15,481
Total contributions received or receivable from employer(s)	2011-12-31	$39,845
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$850
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : W. H. EMMART & SON, INC. 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$247,830
Expenses. Total of all expenses incurred	2010-12-31	$14,312
Benefits paid (including direct rollovers)	2010-12-31	$14,162
Total plan assets at end of year	2010-12-31	$1,681,879
Total plan assets at beginning of year	2010-12-31	$1,448,361
Value of fidelity bond covering the plan	2010-12-31	$200,000
Total contributions received or receivable from participants	2010-12-31	$89,728
Expenses. Other expenses not covered elsewhere	2010-12-31	$150
Other income received	2010-12-31	$121,406
Net income (gross income less expenses)	2010-12-31	$233,518
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$1,681,879
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,448,361
Assets. Value of participant loans	2010-12-31	$5,727
Total contributions received or receivable from employer(s)	2010-12-31	$36,696
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : W. H. EMMART & SON, INC. 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for W. H. EMMART & SON, INC. 401(K) PLAN

2012: W. H. EMMART & SON, INC. 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: W. H. EMMART & SON, INC. 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: W. H. EMMART & SON, INC. 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: W. H. EMMART & SON, INC. 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-B2-HZ76

Policy instance

Insurance contract or identification number	GAP-B2-HZ76
Number of Individuals Covered	40
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $5,151
Total amount of fees paid to insurance company	USD $0
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?	Yes
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
Commission paid to Insurance Broker	USD $5,151
Insurance broker organization code?	3
Insurance broker name	CBIZ FINANCIAL SOLUTION, INC.

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-B2-HZ76

Policy instance

Insurance contract or identification number	GAP-B2-HZ76
Number of Individuals Covered	39
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $4,719
Total amount of fees paid to insurance company	USD $0
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?	Yes
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

NATIONWIDE LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66869 )

Policy contract number

GAP-B2-HZ76

Policy instance

Insurance contract or identification number	GAP-B2-HZ76
Number of Individuals Covered	39
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $3,800
Total amount of fees paid to insurance company	USD $0
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?	Yes
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
Commission paid to Insurance Broker	USD $3,800
Insurance broker organization code?	3
Insurance broker name	CBIZ FINANCIAL SOLUTION, INC.

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Company Name:	W.H. EMMART & SON, INC.
Employer identification number (EIN):	540661733
NAIC Classification:	454310
NAIC Description:	Fuel Dealers