401k Plan data: TREATY OAK 401(K) PLAN plan

TREATY OAK 401(K) PLAN 401k Plan overview

Plan Name	TREATY OAK 401(K) PLAN
Plan identification number	001

TREATY OAK 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

TREATY OAK has sponsored the creation of one or more 401k plans.

Company Name: TREATY OAK

Employer identification number (EIN): 742999760

NAIC Classification: 541600

Form 5500 Filing Information

Submission information for form 5500 for 401k plan TREATY OAK 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 RANDELL M CASEY 2014-04-16
001 2013-01-01 RANDELL M CASEY 2014-04-11
001 2012-01-01 MICHAEL PARETTE 2013-06-18
001 2011-01-01 MICHAEL PARETTE 2013-06-18
001 2010-01-01 MICHAEL PARETTE
001 2009-01-01 MICHAEL PARETTE
001 2008-01-01 MICHAEL PARETTE

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2014-01-01	RANDELL M CASEY	2014-04-16
001	2013-01-01	RANDELL M CASEY	2014-04-11
001	2012-01-01	MICHAEL PARETTE	2013-06-18
001	2011-01-01	MICHAEL PARETTE	2013-06-18
001	2010-01-01	MICHAEL PARETTE
001	2009-01-01	MICHAEL PARETTE
001	2008-01-01	MICHAEL PARETTE

Plan Statistics for TREATY OAK 401(K) PLAN

401k plan membership statisitcs for TREATY OAK 401(K) PLAN

Measure Date Value
2010: TREATY OAK 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 25
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 11
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 3
Total of all active and inactive participants 2010-01-01 14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 14
Number of participants with account balances 2010-01-01 13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 2
2009: TREATY OAK 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 23
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 24
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 1
Total of all active and inactive participants 2009-01-01 25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 25
Number of participants with account balances 2009-01-01 15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 2
2008: TREATY OAK 401(K) PLAN 2008 401k membership
Total participants, beginning-of-year 2008-01-01 16
Total number of active participants reported on line 7a of the Form 5500 2008-01-01 15
Number of retired or separated participants receiving benefits 2008-01-01 0
Number of other retired or separated participants entitled to future benefits 2008-01-01 2
Total of all active and inactive participants 2008-01-01 17
Total participants 2008-01-01 17
Number of participants with account balances 2008-01-01 17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2008-01-01 1

Measure	Date	Value
2010: TREATY OAK 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	25
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	11
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	3
Total of all active and inactive participants	2010-01-01	14
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	14
Number of participants with account balances	2010-01-01	13
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	2
2009: TREATY OAK 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	23
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	24
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	1
Total of all active and inactive participants	2009-01-01	25
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	25
Number of participants with account balances	2009-01-01	15
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	2
2008: TREATY OAK 401(K) PLAN 2008 401k membership
Total participants, beginning-of-year	2008-01-01	16
Total number of active participants reported on line 7a of the Form 5500	2008-01-01	15
Number of retired or separated participants receiving benefits	2008-01-01	0
Number of other retired or separated participants entitled to future benefits	2008-01-01	2
Total of all active and inactive participants	2008-01-01	17
Total participants	2008-01-01	17
Number of participants with account balances	2008-01-01	17
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2008-01-01	1

Financial Data on TREATY OAK 401(K) PLAN

Measure	Date	Value
2010 : TREATY OAK 401(K) PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$0
Total plan liabilities at beginning of year	2010-12-31	$0
Total income from all sources	2010-12-31	$219,870
Expenses. Total of all expenses incurred	2010-12-31	$157,434
Benefits paid (including direct rollovers)	2010-12-31	$156,486
Total plan assets at end of year	2010-12-31	$523,103
Total plan assets at beginning of year	2010-12-31	$460,667
Value of fidelity bond covering the plan	2010-12-31	$60,000
Total contributions received or receivable from participants	2010-12-31	$114,997
Expenses. Other expenses not covered elsewhere	2010-12-31	$0
Contributions received from other sources (not participants or employers)	2010-12-31	$0
Other income received	2010-12-31	$25,805
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$62,436
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$523,103
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$460,667
Total contributions received or receivable from employer(s)	2010-12-31	$79,068
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$948
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : TREATY OAK 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for TREATY OAK 401(K) PLAN

2010: TREATY OAK 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: TREATY OAK 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes
2008: TREATY OAK 401(K) PLAN 2008 form 5500 responses
2008-01-01	Type of plan entity	Single employer plan
2008-01-01	Submission has been amended	No
2008-01-01	This submission is the final filing	No
2008-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2008-01-01	Plan is a collectively bargained plan	No
2008-01-01	Plan funding arrangement – Trust	Yes
2008-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	TREATY OAK
Employer identification number (EIN):	742999760
NAIC Classification:	541600