401k Plan data: SETTLEMENT CAPITAL CORPORATION 401(K) PLAN plan

SETTLEMENT CAPITAL CORPORATION 401(K) PLAN 401k Plan overview

Plan Name	SETTLEMENT CAPITAL CORPORATION 401(K) PLAN
Plan identification number	003

SETTLEMENT CAPITAL CORPORATION 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.
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

SETTLEMENT CAPITAL CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: SETTLEMENT CAPITAL CORPORATION

Employer identification number (EIN): 752253261

NAIC Classification: 523900

Additional information about SETTLEMENT CAPITAL CORPORATION

Jurisdiction of Incorporation: California Department of State

Incorporation Date: 1995-09-22

Company Identification Number: C1924250

Legal Registered Office Address: 350 W Ash St Ste 900

San Diego
United States of America (USA)
92101

More information about SETTLEMENT CAPITAL CORPORATION

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SETTLEMENT CAPITAL CORPORATION 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
003 2019-01-01 MARK HOGARD 2019-09-24 MARK HOGARD 2019-09-24
003 2018-01-01 MARK HOGARD 2019-06-16
003 2017-01-01 MARK HOGARD 2018-07-16
003 2016-01-01 MARK HOGARD 2017-07-13
003 2015-01-01 MARK HOGARD 2016-06-20
003 2014-01-01 MARK HOGARD 2015-06-29
003 2013-01-01 MARK HOGARD 2014-06-26
003 2012-01-01 MARK HOGARD 2013-07-17
003 2011-01-01 JEAN LITZLER
003 2010-01-01 JEAN LITZLER
003 2009-01-01 JEAN LITZLER

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
003	2019-01-01	MARK HOGARD	2019-09-24	MARK HOGARD	2019-09-24
003	2018-01-01	MARK HOGARD	2019-06-16
003	2017-01-01	MARK HOGARD	2018-07-16
003	2016-01-01	MARK HOGARD	2017-07-13
003	2015-01-01	MARK HOGARD	2016-06-20
003	2014-01-01	MARK HOGARD	2015-06-29
003	2013-01-01	MARK HOGARD	2014-06-26
003	2012-01-01	MARK HOGARD	2013-07-17
003	2011-01-01	JEAN LITZLER
003	2010-01-01	JEAN LITZLER
003	2009-01-01	JEAN LITZLER

Plan Statistics for SETTLEMENT CAPITAL CORPORATION 401(K) PLAN

401k plan membership statisitcs for SETTLEMENT CAPITAL CORPORATION 401(K) PLAN

Measure Date Value
2011: SETTLEMENT CAPITAL CORPORATION 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 31
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 25
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 5
Total of all active and inactive participants 2011-01-01 30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 30
Number of participants with account balances 2011-01-01 21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: SETTLEMENT CAPITAL CORPORATION 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 34
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 27
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 4
Total of all active and inactive participants 2010-01-01 31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 31
Number of participants with account balances 2010-01-01 22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: SETTLEMENT CAPITAL CORPORATION 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 32
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 30
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 4
Total of all active and inactive participants 2009-01-01 34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 34
Number of participants with account balances 2009-01-01 24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2011: SETTLEMENT CAPITAL CORPORATION 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	31
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	25
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	5
Total of all active and inactive participants	2011-01-01	30
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	30
Number of participants with account balances	2011-01-01	21
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: SETTLEMENT CAPITAL CORPORATION 401(K) PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	34
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	27
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	4
Total of all active and inactive participants	2010-01-01	31
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	31
Number of participants with account balances	2010-01-01	22
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: SETTLEMENT CAPITAL CORPORATION 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	32
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	30
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	4
Total of all active and inactive participants	2009-01-01	34
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	34
Number of participants with account balances	2009-01-01	24
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on SETTLEMENT CAPITAL CORPORATION 401(K) PLAN

Measure	Date	Value
2011 : SETTLEMENT CAPITAL CORPORATION 401(K) PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$98,857
Expenses. Total of all expenses incurred	2011-12-31	$29,115
Benefits paid (including direct rollovers)	2011-12-31	$28,726
Total plan assets at end of year	2011-12-31	$736,060
Total plan assets at beginning of year	2011-12-31	$666,318
Value of fidelity bond covering the plan	2011-12-31	$1,000,000
Total contributions received or receivable from participants	2011-12-31	$89,168
Other income received	2011-12-31	$-25,062
Net income (gross income less expenses)	2011-12-31	$69,742
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$736,060
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$666,318
Assets. Value of participant loans	2011-12-31	$8,029
Total contributions received or receivable from employer(s)	2011-12-31	$34,751
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$389
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
2010 : SETTLEMENT CAPITAL CORPORATION 401(K) PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$190,665
Expenses. Total of all expenses incurred	2010-12-31	$23,970
Benefits paid (including direct rollovers)	2010-12-31	$19,971
Total plan assets at end of year	2010-12-31	$666,318
Total plan assets at beginning of year	2010-12-31	$499,623
Value of fidelity bond covering the plan	2010-12-31	$1,000,000
Total contributions received or receivable from participants	2010-12-31	$80,472
Other income received	2010-12-31	$78,900
Net income (gross income less expenses)	2010-12-31	$166,695
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$666,318
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$499,623
Assets. Value of participant loans	2010-12-31	$8,166
Total contributions received or receivable from employer(s)	2010-12-31	$31,293
Value of corrective distributions	2010-12-31	$3,610
Expenses. Administrative service providers (salaries,fees and commissions)	2010-12-31	$389
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
2009 : SETTLEMENT CAPITAL CORPORATION 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 SETTLEMENT CAPITAL CORPORATION 401(K) PLAN

2011: SETTLEMENT CAPITAL CORPORATION 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 funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: SETTLEMENT CAPITAL CORPORATION 401(K) PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
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 funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: SETTLEMENT CAPITAL CORPORATION 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 funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SETTLEMENT CAPITAL CORPORATION
Employer identification number (EIN):	752253261
NAIC Classification:	523900

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:	1995-09-22
Company Identification Number:	C1924250
Legal Registered Office Address:	350 W Ash St Ste 900 San Diego United States of America (USA) 92101