401k Plan data: LEVY & SON 401(K) PLAN plan

LEVY & SON 401(K) PLAN 401k Plan overview

Plan Name	LEVY & SON 401(K) PLAN
Plan identification number	001

LEVY & SON 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.
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.

401k Sponsoring company profile

LEVY & SON has sponsored the creation of one or more 401k plans.

Company Name: LEVY & SON

Employer identification number (EIN): 750944517

NAIC Classification: 238220
NAIC Description: Plumbing, Heating, and Air-Conditioning Contractors

Form 5500 Filing Information

Submission information for form 5500 for 401k plan LEVY & SON 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2015-01-01 ARNOLD LEVY 2015-10-12
001 2014-01-01 ARNOLD LEVY 2015-07-14
001 2013-01-01 ARNOLD LEVY 2014-09-29
001 2012-01-01 ARNOLD LEVY
001 2011-01-01 ARNOLD LEVY
001 2009-01-01 ARNOLD LEVY

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2015-01-01	ARNOLD LEVY	2015-10-12
001	2014-01-01	ARNOLD LEVY	2015-07-14
001	2013-01-01	ARNOLD LEVY	2014-09-29
001	2012-01-01	ARNOLD LEVY
001	2011-01-01	ARNOLD LEVY
001	2009-01-01	ARNOLD LEVY

Plan Statistics for LEVY & SON 401(K) PLAN

401k plan membership statisitcs for LEVY & SON 401(K) PLAN

Measure Date Value
2012: LEVY & SON 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 107
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 81
Number of other retired or separated participants entitled to future benefits 2012-01-01 6
Total of all active and inactive participants 2012-01-01 87
Total participants 2012-01-01 87
Number of participants with account balances 2012-01-01 83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 5
2011: LEVY & SON 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 107
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 83
Number of other retired or separated participants entitled to future benefits 2011-01-01 25
Total of all active and inactive participants 2011-01-01 108
Total participants 2011-01-01 108
Number of participants with account balances 2011-01-01 106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 5
2009: LEVY & SON 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 129
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 82
Number of other retired or separated participants entitled to future benefits 2009-01-01 39
Total of all active and inactive participants 2009-01-01 121
Total participants 2009-01-01 121
Number of participants with account balances 2009-01-01 120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 10

Measure	Date	Value
2012: LEVY & SON 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	107
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	81
Number of other retired or separated participants entitled to future benefits	2012-01-01	6
Total of all active and inactive participants	2012-01-01	87
Total participants	2012-01-01	87
Number of participants with account balances	2012-01-01	83
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	5
2011: LEVY & SON 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	107
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	83
Number of other retired or separated participants entitled to future benefits	2011-01-01	25
Total of all active and inactive participants	2011-01-01	108
Total participants	2011-01-01	108
Number of participants with account balances	2011-01-01	106
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	5
2009: LEVY & SON 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	129
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	82
Number of other retired or separated participants entitled to future benefits	2009-01-01	39
Total of all active and inactive participants	2009-01-01	121
Total participants	2009-01-01	121
Number of participants with account balances	2009-01-01	120
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	10

Financial Data on LEVY & SON 401(K) PLAN

Measure	Date	Value
2012 : LEVY & SON 401(K) PLAN 2012 401k financial data
Total income from all sources (including contributions)	2012-12-31	$657,343
Total of all expenses incurred	2012-12-31	$74,462
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$57,322
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$236,731
Value of total assets at end of year	2012-12-31	$3,957,518
Value of total assets at beginning of year	2012-12-31	$3,374,637
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$17,140
Total interest from all sources	2012-12-31	$5,461
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$300,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$211,731
Participant contributions at end of year	2012-12-31	$129,714
Participant contributions at beginning of year	2012-12-31	$99,202
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$582,881
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$3,957,518
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$3,374,637
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Investment advisory and management fees	2012-12-31	$17,140
Value of interest in pooled separate accounts at end of year	2012-12-31	$3,771,840
Value of interest in pooled separate accounts at beginning of year	2012-12-31	$3,220,719
Interest on participant loans	2012-12-31	$4,213
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$1,248
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2012-12-31	$30,964
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2012-12-31	$29,716
Net investment gain/loss from pooled separate accounts	2012-12-31	$415,151
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$25,000
Employer contributions (assets) at end of year	2012-12-31	$25,000
Employer contributions (assets) at beginning of year	2012-12-31	$25,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$57,322
Did the plan have assets held for investment	2012-12-31	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	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	CANDY & SCHONWALD
Accountancy firm EIN	2012-12-31	751447238
2011 : LEVY & SON 401(K) PLAN 2011 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Expenses. Interest paid	2011-12-31	$15,746
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2011-12-31	$15,746
Total income from all sources (including contributions)	2011-12-31	$180,215
Total of all expenses incurred	2011-12-31	$398,881
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$383,135
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$270,091
Value of total assets at end of year	2011-12-31	$3,374,637
Value of total assets at beginning of year	2011-12-31	$3,593,303
Total interest from all sources	2011-12-31	$6,414
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$300,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$240,188
Participant contributions at end of year	2011-12-31	$99,202
Participant contributions at beginning of year	2011-12-31	$95,933
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$4,903
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-218,666
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$3,374,637
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$3,593,303
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Value of interest in pooled separate accounts at end of year	2011-12-31	$3,220,719
Value of interest in pooled separate accounts at beginning of year	2011-12-31	$3,443,227
Interest on participant loans	2011-12-31	$5,304
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$1,110
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2011-12-31	$29,716
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2011-12-31	$29,143
Net investment gain/loss from pooled separate accounts	2011-12-31	$-96,290
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$25,000
Employer contributions (assets) at end of year	2011-12-31	$25,000
Employer contributions (assets) at beginning of year	2011-12-31	$25,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$383,135
Did the plan have assets held for investment	2011-12-31	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	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	CANDY & SCHONWALD
Accountancy firm EIN	2011-12-31	751447238
2010 : LEVY & SON 401(K) PLAN 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$585,248
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$81,001
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$81,001
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$260,580
Value of total assets at end of year	2010-12-31	$3,593,303
Value of total assets at beginning of year	2010-12-31	$3,089,056
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$9,291
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$300,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$235,580
Participant contributions at end of year	2010-12-31	$95,933
Participant contributions at beginning of year	2010-12-31	$127,624
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$504,247
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$3,593,303
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$3,089,056
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in pooled separate accounts at end of year	2010-12-31	$3,443,227
Value of interest in pooled separate accounts at beginning of year	2010-12-31	$2,907,163
Interest on participant loans	2010-12-31	$8,175
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$1,116
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2010-12-31	$29,143
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2010-12-31	$29,269
Net investment gain/loss from pooled separate accounts	2010-12-31	$315,377
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$25,000
Employer contributions (assets) at end of year	2010-12-31	$25,000
Employer contributions (assets) at beginning of year	2010-12-31	$25,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$81,001
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	CANDY & SCHONWALD
Accountancy firm EIN	2010-12-31	751447238
2009 : LEVY & SON 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 LEVY & SON 401(K) PLAN

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

Insurance Providers Used on plan

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

Policy contract number

GAP-42-9727/728

Policy instance

Insurance contract or identification number	GAP-42-9727/728
Number of Individuals Covered	83
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $14,398
Total amount of fees paid to insurance company	USD $2,886
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Commission paid to Insurance Broker	USD $14,398
Amount paid for insurance broker fees	2886
Additional information about fees paid to insurance broker	ADMINISTRATIVE SERVICES
Insurance broker organization code?	3
Insurance broker name	ROBERT CECIL JR

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

Policy contract number

GAP-42-9727/728

Policy instance

Insurance contract or identification number	GAP-42-9727/728
Number of Individuals Covered	106
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $13,698
Total amount of fees paid to insurance company	USD $2,693
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes

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

Policy contract number

GAP-42-9727/728

Policy instance

Insurance contract or identification number	GAP-42-9727/728
Number of Individuals Covered	103
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $12,573
Total amount of fees paid to insurance company	USD $2,370
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes

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Company Name:	LEVY & SON
Employer identification number (EIN):	750944517
NAIC Classification:	238220
NAIC Description:	Plumbing, Heating, and Air-Conditioning Contractors