401k Plan data: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN plan

VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 401k Plan overview

Plan Name	VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN
Plan identification number	001

VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS 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.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
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.
Prototype plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion or notification letter; and under which a seperate funding medium (for example, a seperate trust or custodial account) is established for the use of each adopting employer.

401k Sponsoring company profile

VAUGHAN & SONS INC has sponsored the creation of one or more 401k plans.

Company Name: VAUGHAN & SONS INC

Employer identification number (EIN): 740963640

NAIC Classification: 423300

Form 5500 Filing Information

Submission information for form 5500 for 401k plan VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2021-12-01
001 2020-12-01
001 2019-12-01
001 2018-12-01
001 2017-12-01
001 2016-12-01 CURTIS VAUGHAN, III
001 2015-12-01 CURTIS VAUGHAN, III
001 2014-12-01 CURTIS VAUGHAN, III
001 2013-12-01 CURTIS VAUGHAN, III
001 2012-12-01 CURTIS T. VAUGHAN, III
001 2011-12-01 CURTIS T. VAUGHAN
001 2009-12-01 CURTIS T. VAUGHAN CURTIS T. VAUGHAN 2011-09-15
001 2009-12-01 CURTIS T. VAUGHAN CURTIS T. VAUGHAN 2011-09-14
001 2009-12-01 CURTIS T. VAUGHAN CURTIS T. VAUGHAN 2011-09-21
001 2008-12-01

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2021-12-01
001	2020-12-01
001	2019-12-01
001	2018-12-01
001	2017-12-01
001	2016-12-01	CURTIS VAUGHAN, III
001	2015-12-01	CURTIS VAUGHAN, III
001	2014-12-01	CURTIS VAUGHAN, III
001	2013-12-01	CURTIS VAUGHAN, III
001	2012-12-01	CURTIS T. VAUGHAN, III
001	2011-12-01	CURTIS T. VAUGHAN
001	2009-12-01	CURTIS T. VAUGHAN	CURTIS T. VAUGHAN	2011-09-15
001	2009-12-01	CURTIS T. VAUGHAN	CURTIS T. VAUGHAN	2011-09-14
001	2009-12-01	CURTIS T. VAUGHAN	CURTIS T. VAUGHAN	2011-09-21
001	2008-12-01

Plan Statistics for VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN

401k plan membership statisitcs for VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN

Measure Date Value
2021: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year 2021-12-01 226
Total number of active participants reported on line 7a of the Form 5500 2021-12-01 126
Number of retired or separated participants receiving benefits 2021-12-01 3
Number of other retired or separated participants entitled to future benefits 2021-12-01 23
Total of all active and inactive participants 2021-12-01 152
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-12-01 1
Total participants 2021-12-01 153
Number of participants with account balances 2021-12-01 148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-12-01 6
2020: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year 2020-12-01 215
Total number of active participants reported on line 7a of the Form 5500 2020-12-01 137
Number of retired or separated participants receiving benefits 2020-12-01 12
Number of other retired or separated participants entitled to future benefits 2020-12-01 66
Total of all active and inactive participants 2020-12-01 215
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-12-01 1
Total participants 2020-12-01 216
Number of participants with account balances 2020-12-01 211
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-12-01 7
2019: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year 2019-12-01 183
Total number of active participants reported on line 7a of the Form 5500 2019-12-01 140
Number of retired or separated participants receiving benefits 2019-12-01 9
Number of other retired or separated participants entitled to future benefits 2019-12-01 48
Total of all active and inactive participants 2019-12-01 197
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-12-01 0
Total participants 2019-12-01 197
Number of participants with account balances 2019-12-01 189
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-12-01 7
2018: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year 2018-12-01 162
Total number of active participants reported on line 7a of the Form 5500 2018-12-01 126
Number of retired or separated participants receiving benefits 2018-12-01 7
Number of other retired or separated participants entitled to future benefits 2018-12-01 37
Total of all active and inactive participants 2018-12-01 170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-12-01 0
Total participants 2018-12-01 170
Number of participants with account balances 2018-12-01 169
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-12-01 5
2017: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year 2017-12-01 194
Total number of active participants reported on line 7a of the Form 5500 2017-12-01 128
Number of retired or separated participants receiving benefits 2017-12-01 5
Number of other retired or separated participants entitled to future benefits 2017-12-01 20
Total of all active and inactive participants 2017-12-01 153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-12-01 0
Total participants 2017-12-01 153
Number of participants with account balances 2017-12-01 153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-12-01 7
2016: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year 2016-12-01 130
Total number of active participants reported on line 7a of the Form 5500 2016-12-01 149
Number of retired or separated participants receiving benefits 2016-12-01 0
Number of other retired or separated participants entitled to future benefits 2016-12-01 13
Total of all active and inactive participants 2016-12-01 162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-12-01 0
Total participants 2016-12-01 162
Number of participants with account balances 2016-12-01 118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-12-01 3
2015: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-12-01 154
Total number of active participants reported on line 7a of the Form 5500 2015-12-01 122
Number of retired or separated participants receiving benefits 2015-12-01 0
Number of other retired or separated participants entitled to future benefits 2015-12-01 0
Total of all active and inactive participants 2015-12-01 122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-12-01 0
Total participants 2015-12-01 122
Number of participants with account balances 2015-12-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-12-01 0
2014: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year 2014-12-01 185
Total number of active participants reported on line 7a of the Form 5500 2014-12-01 154
Number of retired or separated participants receiving benefits 2014-12-01 3
Number of other retired or separated participants entitled to future benefits 2014-12-01 10
Total of all active and inactive participants 2014-12-01 167
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-12-01 0
Total participants 2014-12-01 167
Number of participants with account balances 2014-12-01 119
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-12-01 6
2013: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year 2013-12-01 137
Total number of active participants reported on line 7a of the Form 5500 2013-12-01 158
Number of retired or separated participants receiving benefits 2013-12-01 0
Number of other retired or separated participants entitled to future benefits 2013-12-01 7
Total of all active and inactive participants 2013-12-01 165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-12-01 0
Total participants 2013-12-01 165
Number of participants with account balances 2013-12-01 115
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-12-01 4
2012: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-12-01 219
Total number of active participants reported on line 7a of the Form 5500 2012-12-01 98
Number of retired or separated participants receiving benefits 2012-12-01 0
Number of other retired or separated participants entitled to future benefits 2012-12-01 90
Total of all active and inactive participants 2012-12-01 188
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-12-01 0
Total participants 2012-12-01 188
Number of participants with account balances 2012-12-01 150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-12-01 0
2011: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-12-01 222
Total number of active participants reported on line 7a of the Form 5500 2011-12-01 115
Number of retired or separated participants receiving benefits 2011-12-01 0
Number of other retired or separated participants entitled to future benefits 2011-12-01 93
Total of all active and inactive participants 2011-12-01 208
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-12-01 0
Total participants 2011-12-01 208
Number of participants with account balances 2011-12-01 150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-12-01 0
2009: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year 2009-12-01 284
Total number of active participants reported on line 7a of the Form 5500 2009-12-01 128
Number of retired or separated participants receiving benefits 2009-12-01 0
Number of other retired or separated participants entitled to future benefits 2009-12-01 111
Total of all active and inactive participants 2009-12-01 239
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-12-01 0
Total participants 2009-12-01 239
Number of participants with account balances 2009-12-01 171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-12-01 8

Measure	Date	Value
2021: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2021 401k membership
Total participants, beginning-of-year	2021-12-01	226
Total number of active participants reported on line 7a of the Form 5500	2021-12-01	126
Number of retired or separated participants receiving benefits	2021-12-01	3
Number of other retired or separated participants entitled to future benefits	2021-12-01	23
Total of all active and inactive participants	2021-12-01	152
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-12-01	1
Total participants	2021-12-01	153
Number of participants with account balances	2021-12-01	148
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-12-01	6
2020: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2020 401k membership
Total participants, beginning-of-year	2020-12-01	215
Total number of active participants reported on line 7a of the Form 5500	2020-12-01	137
Number of retired or separated participants receiving benefits	2020-12-01	12
Number of other retired or separated participants entitled to future benefits	2020-12-01	66
Total of all active and inactive participants	2020-12-01	215
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-12-01	1
Total participants	2020-12-01	216
Number of participants with account balances	2020-12-01	211
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-12-01	7
2019: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year	2019-12-01	183
Total number of active participants reported on line 7a of the Form 5500	2019-12-01	140
Number of retired or separated participants receiving benefits	2019-12-01	9
Number of other retired or separated participants entitled to future benefits	2019-12-01	48
Total of all active and inactive participants	2019-12-01	197
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-12-01	0
Total participants	2019-12-01	197
Number of participants with account balances	2019-12-01	189
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-12-01	7
2018: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year	2018-12-01	162
Total number of active participants reported on line 7a of the Form 5500	2018-12-01	126
Number of retired or separated participants receiving benefits	2018-12-01	7
Number of other retired or separated participants entitled to future benefits	2018-12-01	37
Total of all active and inactive participants	2018-12-01	170
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-12-01	0
Total participants	2018-12-01	170
Number of participants with account balances	2018-12-01	169
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-12-01	5
2017: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year	2017-12-01	194
Total number of active participants reported on line 7a of the Form 5500	2017-12-01	128
Number of retired or separated participants receiving benefits	2017-12-01	5
Number of other retired or separated participants entitled to future benefits	2017-12-01	20
Total of all active and inactive participants	2017-12-01	153
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-12-01	0
Total participants	2017-12-01	153
Number of participants with account balances	2017-12-01	153
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-12-01	7
2016: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-12-01	130
Total number of active participants reported on line 7a of the Form 5500	2016-12-01	149
Number of retired or separated participants receiving benefits	2016-12-01	0
Number of other retired or separated participants entitled to future benefits	2016-12-01	13
Total of all active and inactive participants	2016-12-01	162
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-12-01	0
Total participants	2016-12-01	162
Number of participants with account balances	2016-12-01	118
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-12-01	3
2015: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-12-01	154
Total number of active participants reported on line 7a of the Form 5500	2015-12-01	122
Number of retired or separated participants receiving benefits	2015-12-01	0
Number of other retired or separated participants entitled to future benefits	2015-12-01	0
Total of all active and inactive participants	2015-12-01	122
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-12-01	0
Total participants	2015-12-01	122
Number of participants with account balances	2015-12-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-12-01	0
2014: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2014 401k membership
Total participants, beginning-of-year	2014-12-01	185
Total number of active participants reported on line 7a of the Form 5500	2014-12-01	154
Number of retired or separated participants receiving benefits	2014-12-01	3
Number of other retired or separated participants entitled to future benefits	2014-12-01	10
Total of all active and inactive participants	2014-12-01	167
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-12-01	0
Total participants	2014-12-01	167
Number of participants with account balances	2014-12-01	119
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-12-01	6
2013: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2013 401k membership
Total participants, beginning-of-year	2013-12-01	137
Total number of active participants reported on line 7a of the Form 5500	2013-12-01	158
Number of retired or separated participants receiving benefits	2013-12-01	0
Number of other retired or separated participants entitled to future benefits	2013-12-01	7
Total of all active and inactive participants	2013-12-01	165
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-12-01	0
Total participants	2013-12-01	165
Number of participants with account balances	2013-12-01	115
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-12-01	4
2012: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-12-01	219
Total number of active participants reported on line 7a of the Form 5500	2012-12-01	98
Number of retired or separated participants receiving benefits	2012-12-01	0
Number of other retired or separated participants entitled to future benefits	2012-12-01	90
Total of all active and inactive participants	2012-12-01	188
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-12-01	0
Total participants	2012-12-01	188
Number of participants with account balances	2012-12-01	150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-12-01	0
2011: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-12-01	222
Total number of active participants reported on line 7a of the Form 5500	2011-12-01	115
Number of retired or separated participants receiving benefits	2011-12-01	0
Number of other retired or separated participants entitled to future benefits	2011-12-01	93
Total of all active and inactive participants	2011-12-01	208
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-12-01	0
Total participants	2011-12-01	208
Number of participants with account balances	2011-12-01	150
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-12-01	0
2009: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2009 401k membership
Total participants, beginning-of-year	2009-12-01	284
Total number of active participants reported on line 7a of the Form 5500	2009-12-01	128
Number of retired or separated participants receiving benefits	2009-12-01	0
Number of other retired or separated participants entitled to future benefits	2009-12-01	111
Total of all active and inactive participants	2009-12-01	239
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-12-01	0
Total participants	2009-12-01	239
Number of participants with account balances	2009-12-01	171
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-12-01	8

Financial Data on VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN

Measure	Date	Value
2022 : VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-11-30	$618
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-11-30	$0
Total income from all sources (including contributions)	2022-11-30	$-259,854
Total loss/gain on sale of assets	2022-11-30	$0
Total of all expenses incurred	2022-11-30	$494,578
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-11-30	$463,168
Value of total corrective distributions	2022-11-30	$3,439
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-11-30	$469,931
Value of total assets at end of year	2022-11-30	$6,776,625
Value of total assets at beginning of year	2022-11-30	$7,530,439
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-11-30	$27,971
Total interest from all sources	2022-11-30	$4,365
Total dividends received (eg from common stock, registered investment company shares)	2022-11-30	$29,981
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-11-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-11-30	$29,981
Was this plan covered by a fidelity bond	2022-11-30	Yes
Value of fidelity bond cover	2022-11-30	$5,000,000
If this is an individual account plan, was there a blackout period	2022-11-30	Yes
Were there any nonexempt tranactions with any party-in-interest	2022-11-30	No
Contributions received from participants	2022-11-30	$328,547
Participant contributions at end of year	2022-11-30	$118,230
Participant contributions at beginning of year	2022-11-30	$87,648
Participant contributions at end of year	2022-11-30	$0
Participant contributions at beginning of year	2022-11-30	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-11-30	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2022-11-30	$7,427,001
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2022-11-30	$618
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2022-11-30	$0
Total non interest bearing cash at end of year	2022-11-30	$0
Total non interest bearing cash at beginning of year	2022-11-30	$1,586
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-11-30	No
Value of net income/loss	2022-11-30	$-754,432
Value of net assets at end of year (total assets less liabilities)	2022-11-30	$6,776,007
Value of net assets at beginning of year (total assets less liabilities)	2022-11-30	$7,530,439
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-11-30	No
Were any leases to which the plan was party in default or uncollectible	2022-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-11-30	$925,101
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-11-30	$4,276
Value of interest in pooled separate accounts at end of year	2022-11-30	$0
Value of interest in pooled separate accounts at beginning of year	2022-11-30	$0
Interest on participant loans	2022-11-30	$4,365
Value of interest in common/collective trusts at end of year	2022-11-30	$5,716,717
Value of interest in common/collective trusts at beginning of year	2022-11-30	$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2022-11-30	$16,577
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2022-11-30	$9,928
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-11-30	$-164,201
Net investment gain or loss from common/collective trusts	2022-11-30	$-599,930
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-11-30	No
Was there a failure to transmit to the plan any participant contributions	2022-11-30	No
Has the plan failed to provide any benefit when due under the plan	2022-11-30	No
Contributions received in cash from employer	2022-11-30	$141,384
Employer contributions (assets) at end of year	2022-11-30	$0
Employer contributions (assets) at beginning of year	2022-11-30	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-11-30	$463,168
Contract administrator fees	2022-11-30	$27,971
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	2022-11-30	Yes
Did the plan have assets held for investment	2022-11-30	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	2022-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-11-30	No
Opinion of an independent qualified public accountant for this plan	2022-11-30	Unqualified
Accountancy firm name	2022-11-30	ADKF, P.C.
Accountancy firm EIN	2022-11-30	742606559
2021 : VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-11-30	$0
Total income from all sources (including contributions)	2021-11-30	$1,528,341
Total loss/gain on sale of assets	2021-11-30	$0
Total of all expenses incurred	2021-11-30	$162,362
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-11-30	$139,475
Expenses. Certain deemed distributions of participant loans	2021-11-30	$7,592
Value of total corrective distributions	2021-11-30	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-11-30	$545,415
Value of total assets at end of year	2021-11-30	$7,530,439
Value of total assets at beginning of year	2021-11-30	$6,164,460
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-11-30	$15,295
Total interest from all sources	2021-11-30	$3,746
Total dividends received (eg from common stock, registered investment company shares)	2021-11-30	$21,034
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-11-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-11-30	$21,034
Was this plan covered by a fidelity bond	2021-11-30	Yes
Value of fidelity bond cover	2021-11-30	$500,000
If this is an individual account plan, was there a blackout period	2021-11-30	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2021-11-30	No
Contributions received from participants	2021-11-30	$305,585
Participant contributions at end of year	2021-11-30	$87,648
Participant contributions at beginning of year	2021-11-30	$76,048
Participant contributions at end of year	2021-11-30	$0
Participant contributions at beginning of year	2021-11-30	$0
Income. Received or receivable in cash from other sources (including rollovers)	2021-11-30	$89,168
Value of other receiveables (less allowance for doubtful accounts) at end of year	2021-11-30	$7,427,001
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2021-11-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2021-11-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2021-11-30	$0
Total non interest bearing cash at end of year	2021-11-30	$1,586
Total non interest bearing cash at beginning of year	2021-11-30	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-11-30	No
Value of net income/loss	2021-11-30	$1,365,979
Value of net assets at end of year (total assets less liabilities)	2021-11-30	$7,530,439
Value of net assets at beginning of year (total assets less liabilities)	2021-11-30	$6,164,460
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-11-30	No
Were any leases to which the plan was party in default or uncollectible	2021-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-11-30	$4,276
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-11-30	$0
Value of interest in pooled separate accounts at end of year	2021-11-30	$0
Value of interest in pooled separate accounts at beginning of year	2021-11-30	$5,525,808
Interest on participant loans	2021-11-30	$3,746
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2021-11-30	$9,928
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2021-11-30	$549,331
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-11-30	$958,146
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-11-30	No
Was there a failure to transmit to the plan any participant contributions	2021-11-30	No
Has the plan failed to provide any benefit when due under the plan	2021-11-30	No
Contributions received in cash from employer	2021-11-30	$150,662
Employer contributions (assets) at end of year	2021-11-30	$0
Employer contributions (assets) at beginning of year	2021-11-30	$13,273
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-11-30	$139,475
Contract administrator fees	2021-11-30	$15,295
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	2021-11-30	Yes
Did the plan have assets held for investment	2021-11-30	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	2021-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-11-30	No
Opinion of an independent qualified public accountant for this plan	2021-11-30	Unqualified
Accountancy firm name	2021-11-30	ADKF, P.C.
Accountancy firm EIN	2021-11-30	742606559
2020 : VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-11-30	$0
Total income from all sources (including contributions)	2020-11-30	$1,090,923
Total loss/gain on sale of assets	2020-11-30	$0
Total of all expenses incurred	2020-11-30	$61,986
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-11-30	$50,837
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-11-30	$417,073
Value of total assets at end of year	2020-11-30	$6,172,264
Value of total assets at beginning of year	2020-11-30	$5,143,327
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-11-30	$11,149
Total interest from all sources	2020-11-30	$3,733
Total dividends received (eg from common stock, registered investment company shares)	2020-11-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-11-30	No
Was this plan covered by a fidelity bond	2020-11-30	Yes
Value of fidelity bond cover	2020-11-30	$500,000
If this is an individual account plan, was there a blackout period	2020-11-30	No
Were there any nonexempt tranactions with any party-in-interest	2020-11-30	No
Contributions received from participants	2020-11-30	$293,258
Participant contributions at end of year	2020-11-30	$76,048
Participant contributions at beginning of year	2020-11-30	$85,128
Participant contributions at end of year	2020-11-30	$7,804
Participant contributions at beginning of year	2020-11-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-11-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-11-30	$0
Administrative expenses (other) incurred	2020-11-30	$11,149
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-11-30	No
Value of net income/loss	2020-11-30	$1,028,937
Value of net assets at end of year (total assets less liabilities)	2020-11-30	$6,172,264
Value of net assets at beginning of year (total assets less liabilities)	2020-11-30	$5,143,327
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-11-30	No
Were any leases to which the plan was party in default or uncollectible	2020-11-30	No
Value of interest in pooled separate accounts at end of year	2020-11-30	$5,525,808
Value of interest in pooled separate accounts at beginning of year	2020-11-30	$4,440,322
Interest on participant loans	2020-11-30	$3,733
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-11-30	$549,331
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-11-30	$472,384
Net investment gain/loss from pooled separate accounts	2020-11-30	$670,117
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-11-30	No
Was there a failure to transmit to the plan any participant contributions	2020-11-30	No
Has the plan failed to provide any benefit when due under the plan	2020-11-30	No
Contributions received in cash from employer	2020-11-30	$123,815
Employer contributions (assets) at end of year	2020-11-30	$13,273
Employer contributions (assets) at beginning of year	2020-11-30	$145,493
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-11-30	$50,837
Did the plan have assets held for investment	2020-11-30	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	2020-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2020-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2020-11-30	Disclaimer
Accountancy firm name	2020-11-30	ADKF, P.C.
Accountancy firm EIN	2020-11-30	742606559
2019 : VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-11-30	$0
Total income from all sources (including contributions)	2019-11-30	$931,439
Total loss/gain on sale of assets	2019-11-30	$0
Total of all expenses incurred	2019-11-30	$209,099
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-11-30	$197,519
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-11-30	$418,409
Value of total assets at end of year	2019-11-30	$5,143,327
Value of total assets at beginning of year	2019-11-30	$4,420,987
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-11-30	$11,580
Total interest from all sources	2019-11-30	$3,137
Total dividends received (eg from common stock, registered investment company shares)	2019-11-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-11-30	No
Was this plan covered by a fidelity bond	2019-11-30	Yes
Value of fidelity bond cover	2019-11-30	$500,000
If this is an individual account plan, was there a blackout period	2019-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2019-11-30	No
Contributions received from participants	2019-11-30	$272,911
Participant contributions at end of year	2019-11-30	$85,128
Participant contributions at beginning of year	2019-11-30	$43,601
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2019-11-30	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-11-30	$0
Administrative expenses (other) incurred	2019-11-30	$11,580
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-11-30	No
Value of net income/loss	2019-11-30	$722,340
Value of net assets at end of year (total assets less liabilities)	2019-11-30	$5,143,327
Value of net assets at beginning of year (total assets less liabilities)	2019-11-30	$4,420,987
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-11-30	No
Were any leases to which the plan was party in default or uncollectible	2019-11-30	No
Value of interest in pooled separate accounts at end of year	2019-11-30	$4,440,322
Value of interest in pooled separate accounts at beginning of year	2019-11-30	$3,834,910
Interest on participant loans	2019-11-30	$3,137
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-11-30	$472,384
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-11-30	$401,329
Net investment gain/loss from pooled separate accounts	2019-11-30	$509,893
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-11-30	No
Was there a failure to transmit to the plan any participant contributions	2019-11-30	No
Has the plan failed to provide any benefit when due under the plan	2019-11-30	No
Contributions received in cash from employer	2019-11-30	$145,498
Employer contributions (assets) at end of year	2019-11-30	$145,493
Employer contributions (assets) at beginning of year	2019-11-30	$141,147
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-11-30	$197,519
Did the plan have assets held for investment	2019-11-30	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	2019-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2019-11-30	Disclaimer
Accountancy firm name	2019-11-30	AKIN, DOHERTY, KLEIN & FEUGE, P.C.
Accountancy firm EIN	2019-11-30	742606559
2018 : VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-11-30	$0
Total income from all sources (including contributions)	2018-11-30	$413,159
Total loss/gain on sale of assets	2018-11-30	$0
Total of all expenses incurred	2018-11-30	$201,170
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-11-30	$164,118
Value of total corrective distributions	2018-11-30	$26,528
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-11-30	$415,563
Value of total assets at end of year	2018-11-30	$4,420,987
Value of total assets at beginning of year	2018-11-30	$4,208,998
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-11-30	$10,524
Total interest from all sources	2018-11-30	$1,915
Total dividends received (eg from common stock, registered investment company shares)	2018-11-30	$0
Was this plan covered by a fidelity bond	2018-11-30	Yes
Value of fidelity bond cover	2018-11-30	$500,000
If this is an individual account plan, was there a blackout period	2018-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2018-11-30	No
Contributions received from participants	2018-11-30	$274,416
Participant contributions at end of year	2018-11-30	$43,601
Participant contributions at beginning of year	2018-11-30	$37,867
Administrative expenses (other) incurred	2018-11-30	$10,524
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-11-30	No
Value of net income/loss	2018-11-30	$211,989
Value of net assets at end of year (total assets less liabilities)	2018-11-30	$4,420,987
Value of net assets at beginning of year (total assets less liabilities)	2018-11-30	$4,208,998
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-11-30	No
Were any leases to which the plan was party in default or uncollectible	2018-11-30	No
Value of interest in pooled separate accounts at end of year	2018-11-30	$3,834,910
Value of interest in pooled separate accounts at beginning of year	2018-11-30	$3,738,227
Interest on participant loans	2018-11-30	$1,915
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-11-30	$401,329
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-11-30	$392,946
Net investment gain/loss from pooled separate accounts	2018-11-30	$-4,319
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-11-30	No
Was there a failure to transmit to the plan any participant contributions	2018-11-30	No
Has the plan failed to provide any benefit when due under the plan	2018-11-30	No
Contributions received in cash from employer	2018-11-30	$141,147
Employer contributions (assets) at end of year	2018-11-30	$141,147
Employer contributions (assets) at beginning of year	2018-11-30	$39,958
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-11-30	$164,118
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	2018-11-30	No
Did the plan have assets held for investment	2018-11-30	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	2018-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2018-11-30	Disclaimer
Accountancy firm name	2018-11-30	AKIN, DOHERTY, KLEIN & FEUGE, P.C.
Accountancy firm EIN	2018-11-30	742606559
2017 : VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-11-30	$0
Total income from all sources (including contributions)	2017-11-30	$840,985
Total loss/gain on sale of assets	2017-11-30	$0
Total of all expenses incurred	2017-11-30	$1,046,013
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-11-30	$1,035,210
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-11-30	$296,784
Value of total assets at end of year	2017-11-30	$4,208,998
Value of total assets at beginning of year	2017-11-30	$4,414,026
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-11-30	$10,803
Total interest from all sources	2017-11-30	$1,404
Total dividends received (eg from common stock, registered investment company shares)	2017-11-30	$0
Was this plan covered by a fidelity bond	2017-11-30	Yes
Value of fidelity bond cover	2017-11-30	$500,000
If this is an individual account plan, was there a blackout period	2017-11-30	No
Were there any nonexempt tranactions with any party-in-interest	2017-11-30	No
Contributions received from participants	2017-11-30	$256,826
Participant contributions at end of year	2017-11-30	$37,867
Participant contributions at beginning of year	2017-11-30	$28,092
Income. Received or receivable in cash from other sources (including rollovers)	2017-11-30	$0
Administrative expenses (other) incurred	2017-11-30	$10,803
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-11-30	No
Value of net income/loss	2017-11-30	$-205,028
Value of net assets at end of year (total assets less liabilities)	2017-11-30	$4,208,998
Value of net assets at beginning of year (total assets less liabilities)	2017-11-30	$4,414,026
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-11-30	No
Were any leases to which the plan was party in default or uncollectible	2017-11-30	No
Value of interest in pooled separate accounts at end of year	2017-11-30	$3,738,227
Value of interest in pooled separate accounts at beginning of year	2017-11-30	$3,364,540
Interest on participant loans	2017-11-30	$1,404
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-11-30	$392,946
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-11-30	$991,171
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-11-30	$542,797
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-11-30	No
Was there a failure to transmit to the plan any participant contributions	2017-11-30	No
Has the plan failed to provide any benefit when due under the plan	2017-11-30	No
Contributions received in cash from employer	2017-11-30	$39,958
Employer contributions (assets) at end of year	2017-11-30	$39,958
Employer contributions (assets) at beginning of year	2017-11-30	$30,223
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-11-30	$1,035,210
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	2017-11-30	No
Did the plan have assets held for investment	2017-11-30	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	2017-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2017-11-30	Disclaimer
Accountancy firm name	2017-11-30	AKIN, DOHERTY, KLEIN & FEUGE, P.C.
Accountancy firm EIN	2017-11-30	742606559
2016 : VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-11-30	$0
Total income from all sources (including contributions)	2016-11-30	$515,928
Total loss/gain on sale of assets	2016-11-30	$0
Total of all expenses incurred	2016-11-30	$470,615
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-11-30	$464,477
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-11-30	$309,655
Value of total assets at end of year	2016-11-30	$4,414,026
Value of total assets at beginning of year	2016-11-30	$4,368,713
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-11-30	$6,138
Total interest from all sources	2016-11-30	$1,329
Total dividends received (eg from common stock, registered investment company shares)	2016-11-30	$0
Was this plan covered by a fidelity bond	2016-11-30	Yes
Value of fidelity bond cover	2016-11-30	$500,000
If this is an individual account plan, was there a blackout period	2016-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2016-11-30	No
Contributions received from participants	2016-11-30	$259,042
Participant contributions at end of year	2016-11-30	$28,092
Participant contributions at beginning of year	2016-11-30	$40,357
Income. Received or receivable in cash from other sources (including rollovers)	2016-11-30	$20,390
Administrative expenses (other) incurred	2016-11-30	$6,138
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-11-30	No
Value of net income/loss	2016-11-30	$45,313
Value of net assets at end of year (total assets less liabilities)	2016-11-30	$4,414,026
Value of net assets at beginning of year (total assets less liabilities)	2016-11-30	$4,368,713
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-11-30	No
Were any leases to which the plan was party in default or uncollectible	2016-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-11-30	$3,364,540
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-11-30	$3,365,404
Interest on participant loans	2016-11-30	$1,329
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-11-30	$991,171
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-11-30	$911,675
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-11-30	$204,944
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-11-30	No
Was there a failure to transmit to the plan any participant contributions	2016-11-30	No
Has the plan failed to provide any benefit when due under the plan	2016-11-30	No
Contributions received in cash from employer	2016-11-30	$30,223
Employer contributions (assets) at end of year	2016-11-30	$30,223
Employer contributions (assets) at beginning of year	2016-11-30	$51,277
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-11-30	$464,477
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	2016-11-30	No
Did the plan have assets held for investment	2016-11-30	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	2016-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2016-11-30	Disclaimer
Accountancy firm name	2016-11-30	AKIN, DOHERTY, KLEIN & FEUGE, P.C.
Accountancy firm EIN	2016-11-30	742606559
2015 : VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-11-30	$0
Total income from all sources (including contributions)	2015-11-30	$382,384
Total loss/gain on sale of assets	2015-11-30	$0
Total of all expenses incurred	2015-11-30	$150,582
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-11-30	$147,782
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-11-30	$406,322
Value of total assets at end of year	2015-11-30	$4,368,713
Value of total assets at beginning of year	2015-11-30	$4,136,911
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-11-30	$2,800
Total interest from all sources	2015-11-30	$10,961
Total dividends received (eg from common stock, registered investment company shares)	2015-11-30	$0
Was this plan covered by a fidelity bond	2015-11-30	Yes
Value of fidelity bond cover	2015-11-30	$500,000
If this is an individual account plan, was there a blackout period	2015-11-30	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2015-11-30	No
Contributions received from participants	2015-11-30	$299,457
Participant contributions at end of year	2015-11-30	$40,357
Participant contributions at beginning of year	2015-11-30	$61,810
Income. Received or receivable in cash from other sources (including rollovers)	2015-11-30	$55,588
Administrative expenses (other) incurred	2015-11-30	$2,800
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-11-30	No
Value of net income/loss	2015-11-30	$231,802
Value of net assets at end of year (total assets less liabilities)	2015-11-30	$4,368,713
Value of net assets at beginning of year (total assets less liabilities)	2015-11-30	$4,136,911
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-11-30	No
Were any leases to which the plan was party in default or uncollectible	2015-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-11-30	$3,365,404
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-11-30	$3,006,341
Interest on participant loans	2015-11-30	$1,886
Interest earned on other investments	2015-11-30	$9,075
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2015-11-30	$911,675
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2015-11-30	$984,330
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-11-30	$-34,899
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-11-30	No
Was there a failure to transmit to the plan any participant contributions	2015-11-30	No
Has the plan failed to provide any benefit when due under the plan	2015-11-30	No
Contributions received in cash from employer	2015-11-30	$51,277
Employer contributions (assets) at end of year	2015-11-30	$51,277
Employer contributions (assets) at beginning of year	2015-11-30	$84,430
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-11-30	$147,782
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	2015-11-30	No
Did the plan have assets held for investment	2015-11-30	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	2015-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2015-11-30	Disclaimer
Accountancy firm name	2015-11-30	AKIN, DOHERTY, KLEIN & FEUGE, P.C.
Accountancy firm EIN	2015-11-30	742606559
2014 : VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-11-30	$0
Total income from all sources (including contributions)	2014-11-30	$720,267
Total loss/gain on sale of assets	2014-11-30	$0
Total of all expenses incurred	2014-11-30	$95,092
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-11-30	$91,375
Expenses. Certain deemed distributions of participant loans	2014-11-30	$904
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-11-30	$454,936
Value of total assets at end of year	2014-11-30	$4,136,911
Value of total assets at beginning of year	2014-11-30	$3,511,736
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-11-30	$2,813
Total interest from all sources	2014-11-30	$2,802
Total dividends received (eg from common stock, registered investment company shares)	2014-11-30	$25,421
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-11-30	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-11-30	$25,421
Was this plan covered by a fidelity bond	2014-11-30	Yes
Value of fidelity bond cover	2014-11-30	$500,000
If this is an individual account plan, was there a blackout period	2014-11-30	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-11-30	$0
Were there any nonexempt tranactions with any party-in-interest	2014-11-30	No
Contributions received from participants	2014-11-30	$290,674
Participant contributions at end of year	2014-11-30	$61,810
Participant contributions at beginning of year	2014-11-30	$6,314
Income. Received or receivable in cash from other sources (including rollovers)	2014-11-30	$2,167
Administrative expenses (other) incurred	2014-11-30	$2,813
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-11-30	No
Value of net income/loss	2014-11-30	$625,175
Value of net assets at end of year (total assets less liabilities)	2014-11-30	$4,136,911
Value of net assets at beginning of year (total assets less liabilities)	2014-11-30	$3,511,736
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-11-30	No
Were any leases to which the plan was party in default or uncollectible	2014-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-11-30	$3,006,341
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-11-30	$2,130,736
Interest on participant loans	2014-11-30	$1,224
Interest earned on other investments	2014-11-30	$1,578
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2014-11-30	$984,330
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2014-11-30	$1,374,686
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-11-30	$237,108
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-11-30	No
Was there a failure to transmit to the plan any participant contributions	2014-11-30	No
Has the plan failed to provide any benefit when due under the plan	2014-11-30	No
Contributions received in cash from employer	2014-11-30	$162,095
Employer contributions (assets) at end of year	2014-11-30	$84,430
Employer contributions (assets) at beginning of year	2014-11-30	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-11-30	$91,375
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	2014-11-30	Yes
Did the plan have assets held for investment	2014-11-30	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	2014-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2014-11-30	Disclaimer
Accountancy firm name	2014-11-30	AKIN, DOHERTY, KLEIN & FEUGE, P.C.
Accountancy firm EIN	2014-11-30	742606559
2013 : VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-11-30	$0
Total income from all sources (including contributions)	2013-11-30	$806,668
Total loss/gain on sale of assets	2013-11-30	$0
Total of all expenses incurred	2013-11-30	$60,275
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-11-30	$58,581
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-11-30	$314,375
Value of total assets at end of year	2013-11-30	$3,511,736
Value of total assets at beginning of year	2013-11-30	$2,765,343
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-11-30	$1,694
Total interest from all sources	2013-11-30	$16,771
Total dividends received (eg from common stock, registered investment company shares)	2013-11-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-11-30	No
Was this plan covered by a fidelity bond	2013-11-30	Yes
Value of fidelity bond cover	2013-11-30	$500,000
Were there any nonexempt tranactions with any party-in-interest	2013-11-30	No
Contributions received from participants	2013-11-30	$265,083
Participant contributions at end of year	2013-11-30	$6,314
Participant contributions at beginning of year	2013-11-30	$8,162
Other income not declared elsewhere	2013-11-30	$447
Administrative expenses (other) incurred	2013-11-30	$1,694
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-11-30	No
Value of net income/loss	2013-11-30	$746,393
Value of net assets at end of year (total assets less liabilities)	2013-11-30	$3,511,736
Value of net assets at beginning of year (total assets less liabilities)	2013-11-30	$2,765,343
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-11-30	No
Were any leases to which the plan was party in default or uncollectible	2013-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-11-30	$2,130,736
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-11-30	$2,057,573
Interest on participant loans	2013-11-30	$324
Interest earned on other investments	2013-11-30	$16,447
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2013-11-30	$1,374,686
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2013-11-30	$699,608
Net investment gain/loss from pooled separate accounts	2013-11-30	$475,075
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-11-30	No
Was there a failure to transmit to the plan any participant contributions	2013-11-30	No
Has the plan failed to provide any benefit when due under the plan	2013-11-30	No
Contributions received in cash from employer	2013-11-30	$49,292
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-11-30	$58,581
Did the plan have assets held for investment	2013-11-30	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	2013-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2013-11-30	Disclaimer
Accountancy firm name	2013-11-30	AKIN , DOHERTY, KLEIN & FEUGE P.C.
Accountancy firm EIN	2013-11-30	742606559
2012 : VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-11-30	$0
Total income from all sources (including contributions)	2012-11-30	$486,468
Total loss/gain on sale of assets	2012-11-30	$0
Total of all expenses incurred	2012-11-30	$311,010
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-11-30	$298,612
Value of total corrective distributions	2012-11-30	$11,320
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-11-30	$229,425
Value of total assets at end of year	2012-11-30	$2,765,343
Value of total assets at beginning of year	2012-11-30	$2,589,885
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-11-30	$1,078
Total interest from all sources	2012-11-30	$14,693
Total dividends received (eg from common stock, registered investment company shares)	2012-11-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-11-30	No
Was this plan covered by a fidelity bond	2012-11-30	Yes
Value of fidelity bond cover	2012-11-30	$500,000
Were there any nonexempt tranactions with any party-in-interest	2012-11-30	No
Contributions received from participants	2012-11-30	$200,167
Participant contributions at end of year	2012-11-30	$8,162
Participant contributions at beginning of year	2012-11-30	$26,986
Other income not declared elsewhere	2012-11-30	$131
Administrative expenses (other) incurred	2012-11-30	$1,078
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-11-30	No
Value of net income/loss	2012-11-30	$175,458
Value of net assets at end of year (total assets less liabilities)	2012-11-30	$2,765,343
Value of net assets at beginning of year (total assets less liabilities)	2012-11-30	$2,589,885
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-11-30	No
Were any leases to which the plan was party in default or uncollectible	2012-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-11-30	$2,057,573
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-11-30	$1,802,224
Interest on participant loans	2012-11-30	$599
Interest earned on other investments	2012-11-30	$14,094
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-11-30	$699,608
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-11-30	$760,675
Net investment gain/loss from pooled separate accounts	2012-11-30	$242,219
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-11-30	No
Was there a failure to transmit to the plan any participant contributions	2012-11-30	No
Has the plan failed to provide any benefit when due under the plan	2012-11-30	No
Contributions received in cash from employer	2012-11-30	$29,258
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-11-30	$298,612
Did the plan have assets held for investment	2012-11-30	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	2012-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2012-11-30	Disclaimer
Accountancy firm name	2012-11-30	AKIN, DOHERTY, KLEIN & FEUGE P. C.
Accountancy firm EIN	2012-11-30	742606559
2011 : VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-11-30	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-11-30	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-11-30	$0
Total income from all sources (including contributions)	2011-11-30	$246,376
Total loss/gain on sale of assets	2011-11-30	$0
Total of all expenses incurred	2011-11-30	$417,337
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-11-30	$416,161
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-11-30	$207,520
Value of total assets at end of year	2011-11-30	$2,589,885
Value of total assets at beginning of year	2011-11-30	$2,760,846
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-11-30	$1,176
Total interest from all sources	2011-11-30	$17,391
Total dividends received (eg from common stock, registered investment company shares)	2011-11-30	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-11-30	No
Was this plan covered by a fidelity bond	2011-11-30	Yes
Value of fidelity bond cover	2011-11-30	$500,000
Were there any nonexempt tranactions with any party-in-interest	2011-11-30	No
Contributions received from participants	2011-11-30	$207,520
Participant contributions at end of year	2011-11-30	$26,986
Participant contributions at beginning of year	2011-11-30	$32,085
Administrative expenses (other) incurred	2011-11-30	$1,176
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-11-30	No
Value of net income/loss	2011-11-30	$-170,961
Value of net assets at end of year (total assets less liabilities)	2011-11-30	$2,589,885
Value of net assets at beginning of year (total assets less liabilities)	2011-11-30	$2,760,846
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-11-30	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-11-30	No
Were any leases to which the plan was party in default or uncollectible	2011-11-30	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-11-30	$1,802,224
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-11-30	$1,619,616
Interest on participant loans	2011-11-30	$1,171
Interest earned on other investments	2011-11-30	$16,220
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-11-30	$760,675
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-11-30	$1,109,145
Net investment gain/loss from pooled separate accounts	2011-11-30	$21,465
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-11-30	No
Was there a failure to transmit to the plan any participant contributions	2011-11-30	No
Has the plan failed to provide any benefit when due under the plan	2011-11-30	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-11-30	$416,161
Did the plan have assets held for investment	2011-11-30	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	2011-11-30	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-11-30	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-11-30	Yes
Opinion of an independent qualified public accountant for this plan	2011-11-30	Disclaimer
Accountancy firm name	2011-11-30	AKIN, DOHERTY, KLEIN & FEUGE P.C.
Accountancy firm EIN	2011-11-30	742606559

Form 5500 Responses for VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN

2021: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2021 form 5500 responses
2021-12-01	Type of plan entity	Single employer plan
2021-12-01	Submission has been amended	No
2021-12-01	This submission is the final filing	No
2021-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-12-01	Plan is a collectively bargained plan	No
2021-12-01	Plan funding arrangement – Insurance	Yes
2021-12-01	Plan funding arrangement – Trust	Yes
2021-12-01	Plan benefit arrangement – Insurance	Yes
2021-12-01	Plan benefit arrangement - Trust	Yes
2020: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2020 form 5500 responses
2020-12-01	Type of plan entity	Single employer plan
2020-12-01	Submission has been amended	No
2020-12-01	This submission is the final filing	No
2020-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-12-01	Plan is a collectively bargained plan	No
2020-12-01	Plan funding arrangement – Insurance	Yes
2020-12-01	Plan funding arrangement – Trust	Yes
2020-12-01	Plan benefit arrangement – Insurance	Yes
2020-12-01	Plan benefit arrangement - Trust	Yes
2019: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2019 form 5500 responses
2019-12-01	Type of plan entity	Single employer plan
2019-12-01	Submission has been amended	No
2019-12-01	This submission is the final filing	No
2019-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-12-01	Plan is a collectively bargained plan	No
2019-12-01	Plan funding arrangement – Insurance	Yes
2019-12-01	Plan funding arrangement – Trust	Yes
2019-12-01	Plan benefit arrangement – Insurance	Yes
2019-12-01	Plan benefit arrangement - Trust	Yes
2018: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2018 form 5500 responses
2018-12-01	Type of plan entity	Single employer plan
2018-12-01	Submission has been amended	No
2018-12-01	This submission is the final filing	No
2018-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-12-01	Plan is a collectively bargained plan	No
2018-12-01	Plan funding arrangement – Insurance	Yes
2018-12-01	Plan funding arrangement – Trust	Yes
2018-12-01	Plan benefit arrangement – Insurance	Yes
2018-12-01	Plan benefit arrangement - Trust	Yes
2017: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2017 form 5500 responses
2017-12-01	Type of plan entity	Single employer plan
2017-12-01	Submission has been amended	No
2017-12-01	This submission is the final filing	No
2017-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-12-01	Plan is a collectively bargained plan	No
2017-12-01	Plan funding arrangement – Insurance	Yes
2017-12-01	Plan funding arrangement – Trust	Yes
2017-12-01	Plan benefit arrangement – Insurance	Yes
2017-12-01	Plan benefit arrangement - Trust	Yes
2016: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2016 form 5500 responses
2016-12-01	Type of plan entity	Single employer plan
2016-12-01	Submission has been amended	No
2016-12-01	This submission is the final filing	No
2016-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-12-01	Plan is a collectively bargained plan	No
2016-12-01	Plan funding arrangement – Insurance	Yes
2016-12-01	Plan funding arrangement – Trust	Yes
2016-12-01	Plan benefit arrangement – Insurance	Yes
2016-12-01	Plan benefit arrangement - Trust	Yes
2015: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2015 form 5500 responses
2015-12-01	Type of plan entity	Single employer plan
2015-12-01	Submission has been amended	No
2015-12-01	This submission is the final filing	No
2015-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-12-01	Plan is a collectively bargained plan	No
2015-12-01	Plan funding arrangement – Insurance	Yes
2015-12-01	Plan funding arrangement – Trust	Yes
2015-12-01	Plan benefit arrangement – Insurance	Yes
2015-12-01	Plan benefit arrangement - Trust	Yes
2014: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2014 form 5500 responses
2014-12-01	Type of plan entity	Single employer plan
2014-12-01	Submission has been amended	No
2014-12-01	This submission is the final filing	No
2014-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-12-01	Plan is a collectively bargained plan	No
2014-12-01	Plan funding arrangement – Insurance	Yes
2014-12-01	Plan funding arrangement – Trust	Yes
2014-12-01	Plan benefit arrangement – Insurance	Yes
2014-12-01	Plan benefit arrangement - Trust	Yes
2013: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2013 form 5500 responses
2013-12-01	Type of plan entity	Single employer plan
2013-12-01	Submission has been amended	No
2013-12-01	This submission is the final filing	No
2013-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-12-01	Plan is a collectively bargained plan	No
2013-12-01	Plan funding arrangement – Insurance	Yes
2013-12-01	Plan funding arrangement – Trust	Yes
2013-12-01	Plan benefit arrangement – Insurance	Yes
2013-12-01	Plan benefit arrangement - Trust	Yes
2012: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2012 form 5500 responses
2012-12-01	Type of plan entity	Single employer plan
2012-12-01	Submission has been amended	No
2012-12-01	This submission is the final filing	No
2012-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-12-01	Plan is a collectively bargained plan	No
2012-12-01	Plan funding arrangement – Insurance	Yes
2012-12-01	Plan funding arrangement – Trust	Yes
2012-12-01	Plan benefit arrangement – Insurance	Yes
2012-12-01	Plan benefit arrangement - Trust	Yes
2011: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2011 form 5500 responses
2011-12-01	Type of plan entity	Single employer plan
2011-12-01	Submission has been amended	No
2011-12-01	This submission is the final filing	No
2011-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-12-01	Plan is a collectively bargained plan	No
2011-12-01	Plan funding arrangement – Insurance	Yes
2011-12-01	Plan funding arrangement – Trust	Yes
2011-12-01	Plan benefit arrangement – Insurance	Yes
2011-12-01	Plan benefit arrangement - Trust	Yes
2009: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2009 form 5500 responses
2009-12-01	Type of plan entity	Single employer plan
2009-12-01	Submission has been amended	Yes
2009-12-01	This submission is the final filing	No
2009-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-12-01	Plan is a collectively bargained plan	No
2009-12-01	Plan funding arrangement – Insurance	Yes
2009-12-01	Plan funding arrangement – Trust	Yes
2009-12-01	Plan benefit arrangement – Insurance	Yes
2009-12-01	Plan benefit arrangement - Trust	Yes
2008: VAUGHAN & SONS, INC. 401(K) RETIREMENT AND SAVINGS PLAN 2008 form 5500 responses
2008-12-01	Type of plan entity	Single employer plan
2008-12-01	Submission has been amended	No
2008-12-01	This submission is the final filing	No
2008-12-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-12-01	Plan is a collectively bargained plan	No

Insurance Providers Used on plan

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

514540-01

Policy instance

Insurance contract or identification number	514540-01
Number of Individuals Covered	0
Insurance policy start date	2021-12-01
Insurance policy end date	2022-11-30
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?	Yes
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

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

811791

Policy instance

Insurance contract or identification number	811791
Number of Individuals Covered	22
Insurance policy start date	2020-12-01
Insurance policy end date	2021-11-30
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $3,348
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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
Amount paid for insurance broker fees	3348
Additional information about fees paid to insurance broker	TPA FEES
Insurance broker organization code?	5

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

514540-01

Policy instance

Insurance contract or identification number	514540-01
Number of Individuals Covered	51
Insurance policy start date	2020-12-01
Insurance policy end date	2021-11-30
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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?	Yes
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

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

811791

Policy instance

Insurance contract or identification number	811791
Number of Individuals Covered	195
Insurance policy start date	2019-12-01
Insurance policy end date	2020-11-30
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $2,518
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

811791

Policy instance

Insurance contract or identification number	811791
Number of Individuals Covered	172
Insurance policy start date	2018-12-01
Insurance policy end date	2019-11-30
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $2,232
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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 $0
Amount paid for insurance broker fees	2232
Additional information about fees paid to insurance broker	TPA FEES
Insurance broker organization code?	5

VOYA RETIRIEMENT INSURANCE AND ANNUITY COMPANY (National Association of Insurance Commissioners NAIC id number: 86509 )

Policy contract number

811791

Policy instance

Insurance contract or identification number	811791
Number of Individuals Covered	129
Insurance policy start date	2017-12-01
Insurance policy end date	2018-11-30
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $2,132
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating 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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Company Name:	VAUGHAN & SONS INC
Employer identification number (EIN):	740963640
NAIC Classification:	423300