401k Plan data: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN plan

JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 401k Plan overview

Plan Name	JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN
Plan identification number	001

JAMES & ASSOCIATES 401(K) PROFIT SHARING 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 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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CAREY A. JAMES, A SOLE PROPRIETORSHIP has sponsored the creation of one or more 401k plans.

Company Name: CAREY A. JAMES, A SOLE PROPRIETORSHIP

Employer identification number (EIN): 770459442

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01 CAREY A. JAMES 2020-10-15
001 2018-01-01 CAREY A. JAMES 2019-10-15
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01
001 2013-01-01 CAREY A. JAMES
001 2012-01-01 CAREY A. JAMES
001 2011-01-01 CAREY A. JAMES
001 2010-01-01 DOUGLAS S. HENDRY
001 2009-01-01 DOUGLAS S. HENDRY

Plan Statistics for JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN

401k plan membership statisitcs for JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN

Measure Date Value
2019: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 3
Number of retired or separated participants receiving benefits 2019-01-01 2
Total of all active and inactive participants 2019-01-01 5
Total participants 2019-01-01 5
Number of participants with account balances 2019-01-01 5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 4
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 4
Number of participants with account balances 2018-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 3
Number of other retired or separated participants entitled to future benefits 2017-01-01 1
Total of all active and inactive participants 2017-01-01 4
Total participants 2017-01-01 4
Number of participants with account balances 2017-01-01 4
2016: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 4
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 0
Total of all active and inactive participants 2016-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 4
Number of participants with account balances 2016-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 4
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 0
Total of all active and inactive participants 2015-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 4
Number of participants with account balances 2015-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 4
Number of retired or separated participants receiving benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 4
Number of participants with account balances 2014-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 3
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 0
Total of all active and inactive participants 2013-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 3
Number of participants with account balances 2013-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2012: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 2
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 1
Total of all active and inactive participants 2012-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 3
Number of participants with account balances 2012-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 0
2011: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 2
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 1
Total of all active and inactive participants 2011-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 3
Number of participants with account balances 2011-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 1
2010: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 4
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 3
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 0
Total of all active and inactive participants 2010-01-01 3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 3
Number of participants with account balances 2010-01-01 3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 0
2009: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 3
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 3
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 4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 4
Number of participants with account balances 2009-01-01 4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 0

Measure	Date	Value
2019: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	3
Number of retired or separated participants receiving benefits	2019-01-01	2
Total of all active and inactive participants	2019-01-01	5
Total participants	2019-01-01	5
Number of participants with account balances	2019-01-01	5
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	4
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	4
Number of participants with account balances	2018-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	3
Number of other retired or separated participants entitled to future benefits	2017-01-01	1
Total of all active and inactive participants	2017-01-01	4
Total participants	2017-01-01	4
Number of participants with account balances	2017-01-01	4
2016: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	4
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	0
Total of all active and inactive participants	2016-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	4
Number of participants with account balances	2016-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	4
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	0
Total of all active and inactive participants	2015-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	4
Number of participants with account balances	2015-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	4
Number of retired or separated participants receiving benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	4
Number of participants with account balances	2014-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	3
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	0
Total of all active and inactive participants	2013-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	3
Number of participants with account balances	2013-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2012: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	2
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	1
Total of all active and inactive participants	2012-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	3
Number of participants with account balances	2012-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	0
2011: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	2
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	1
Total of all active and inactive participants	2011-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	3
Number of participants with account balances	2011-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	1
2010: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	4
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	3
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	0
Total of all active and inactive participants	2010-01-01	3
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	3
Number of participants with account balances	2010-01-01	3
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	0
2009: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	3
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	3
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	4
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	4
Number of participants with account balances	2009-01-01	4
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	0

Financial Data on JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN

Measure	Date	Value
2019 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2019 401k financial data
Total plan liabilities at end of year	2019-12-31	$229,006
Total plan liabilities at beginning of year	2019-12-31	$239,449
Total income from all sources	2019-12-31	$126,160
Total plan assets at end of year	2019-12-31	$792,554
Total plan assets at beginning of year	2019-12-31	$676,837
Value of fidelity bond covering the plan	2019-12-31	$550,000
Total contributions received or receivable from participants	2019-12-31	$18,562
Other income received	2019-12-31	$104,066
Net income (gross income less expenses)	2019-12-31	$126,160
Net plan assets at end of year (total assets less liabilities)	2019-12-31	$563,548
Net plan assets at beginning of year (total assets less liabilities)	2019-12-31	$437,388
Assets. Value of participant loans	2019-12-31	$39,855
Assets. Value of real-estate (other than employer real property)	2019-12-31	$230,000
Total contributions received or receivable from employer(s)	2019-12-31	$3,532
2018 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2018 401k financial data
Total plan liabilities at end of year	2018-12-31	$249,847
Total plan liabilities at beginning of year	2018-12-31	$249,847
Total income from all sources	2018-12-31	$-47,718
Expenses. Total of all expenses incurred	2018-12-31	$28,464
Benefits paid (including direct rollovers)	2018-12-31	$28,444
Total plan assets at end of year	2018-12-31	$649,237
Total plan assets at beginning of year	2018-12-31	$725,419
Value of fidelity bond covering the plan	2018-12-31	$550,000
Total contributions received or receivable from participants	2018-12-31	$18,562
Other income received	2018-12-31	$-68,611
Net income (gross income less expenses)	2018-12-31	$-76,182
Net plan assets at end of year (total assets less liabilities)	2018-12-31	$399,390
Net plan assets at beginning of year (total assets less liabilities)	2018-12-31	$475,572
Assets. Value of participant loans	2018-12-31	$22,545
Assets. Value of real-estate (other than employer real property)	2018-12-31	$230,000
Total contributions received or receivable from employer(s)	2018-12-31	$2,331
Expenses. Administrative service providers (salaries,fees and commissions)	2018-12-31	$20
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
2017 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2017 401k financial data
Total plan liabilities at end of year	2017-12-31	$249,847
Total plan liabilities at beginning of year	2017-12-31	$260,527
Total income from all sources	2017-12-31	$12,732
Expenses. Total of all expenses incurred	2017-12-31	$9,368
Benefits paid (including direct rollovers)	2017-12-31	$2,342
Total plan assets at end of year	2017-12-31	$725,419
Total plan assets at beginning of year	2017-12-31	$732,735
Value of fidelity bond covering the plan	2017-12-31	$550,000
Total contributions received or receivable from participants	2017-12-31	$3,575
Other income received	2017-12-31	$5,346
Net income (gross income less expenses)	2017-12-31	$3,364
Net plan assets at end of year (total assets less liabilities)	2017-12-31	$475,572
Net plan assets at beginning of year (total assets less liabilities)	2017-12-31	$472,208
Assets. Value of participant loans	2017-12-31	$43,797
Assets. Value of real-estate (other than employer real property)	2017-12-31	$230,000
Total contributions received or receivable from employer(s)	2017-12-31	$3,811
Expenses. Administrative service providers (salaries,fees and commissions)	2017-12-31	$7,026
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
2016 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2016 401k financial data
Total plan liabilities at end of year	2016-12-31	$260,527
Total plan liabilities at beginning of year	2016-12-31	$271,415
Total income from all sources	2016-12-31	$33,317
Expenses. Total of all expenses incurred	2016-12-31	$5,483
Total plan assets at end of year	2016-12-31	$732,735
Total plan assets at beginning of year	2016-12-31	$715,789
Value of fidelity bond covering the plan	2016-12-31	$550,000
Total contributions received or receivable from participants	2016-12-31	$15,187
Expenses. Other expenses not covered elsewhere	2016-12-31	$5,483
Other income received	2016-12-31	$11,749
Net income (gross income less expenses)	2016-12-31	$27,834
Net plan assets at end of year (total assets less liabilities)	2016-12-31	$472,208
Net plan assets at beginning of year (total assets less liabilities)	2016-12-31	$444,374
Assets. Value of participant loans	2016-12-31	$46,580
Assets. Value of real-estate (other than employer real property)	2016-12-31	$230,000
Total contributions received or receivable from employer(s)	2016-12-31	$6,381
2015 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2015 401k financial data
Total plan liabilities at end of year	2015-12-31	$271,415
Total plan liabilities at beginning of year	2015-12-31	$282,302
Total income from all sources	2015-12-31	$49,361
Expenses. Total of all expenses incurred	2015-12-31	$14,119
Total plan assets at end of year	2015-12-31	$715,789
Total plan assets at beginning of year	2015-12-31	$691,434
Value of fidelity bond covering the plan	2015-12-31	$550,000
Total contributions received or receivable from participants	2015-12-31	$18,562
Expenses. Other expenses not covered elsewhere	2015-12-31	$14,119
Other income received	2015-12-31	$19,719
Net income (gross income less expenses)	2015-12-31	$35,242
Net plan assets at end of year (total assets less liabilities)	2015-12-31	$444,374
Net plan assets at beginning of year (total assets less liabilities)	2015-12-31	$409,132
Assets. Value of participant loans	2015-12-31	$48,081
Assets. Value of real-estate (other than employer real property)	2015-12-31	$230,000
Total contributions received or receivable from employer(s)	2015-12-31	$11,080
2014 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2014 401k financial data
Total plan liabilities at end of year	2014-12-31	$282,302
Total plan liabilities at beginning of year	2014-12-31	$292,875
Total income from all sources	2014-12-31	$67,773
Expenses. Total of all expenses incurred	2014-12-31	$12,174
Total plan assets at end of year	2014-12-31	$691,434
Total plan assets at beginning of year	2014-12-31	$646,408
Value of fidelity bond covering the plan	2014-12-31	$550,000
Total contributions received or receivable from participants	2014-12-31	$21,713
Expenses. Other expenses not covered elsewhere	2014-12-31	$12,104
Other income received	2014-12-31	$38,289
Net income (gross income less expenses)	2014-12-31	$55,599
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$409,132
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$353,533
Assets. Value of participant loans	2014-12-31	$52,983
Assets. Value of real-estate (other than employer real property)	2014-12-31	$230,000
Total contributions received or receivable from employer(s)	2014-12-31	$7,771
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$70
2013 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$292,875
Total plan liabilities at beginning of year	2013-12-31	$303,094
Total income from all sources	2013-12-31	$175,211
Expenses. Total of all expenses incurred	2013-12-31	$18,683
Benefits paid (including direct rollovers)	2013-12-31	$3,605
Total plan assets at end of year	2013-12-31	$646,408
Total plan assets at beginning of year	2013-12-31	$500,099
Value of fidelity bond covering the plan	2013-12-31	$550,000
Total contributions received or receivable from participants	2013-12-31	$12,375
Expenses. Other expenses not covered elsewhere	2013-12-31	$15,078
Contributions received from other sources (not participants or employers)	2013-12-31	$0
Other income received	2013-12-31	$140,988
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$156,528
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$353,533
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$197,005
Assets. Value of participant loans	2013-12-31	$13,748
Assets. Value of real-estate (other than employer real property)	2013-12-31	$230,000
Total contributions received or receivable from employer(s)	2013-12-31	$21,848
Value of certain deemed distributions of participant loans	2013-12-31	$0
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$0
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
2012 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2012 401k financial data
Transfers to/from the plan	2012-12-31	$0
Total plan liabilities at end of year	2012-12-31	$303,094
Total plan liabilities at beginning of year	2012-12-31	$312,429
Total income from all sources	2012-12-31	$369,591
Expenses. Total of all expenses incurred	2012-12-31	$15,753
Benefits paid (including direct rollovers)	2012-12-31	$0
Total plan assets at end of year	2012-12-31	$500,099
Total plan assets at beginning of year	2012-12-31	$155,596
Value of fidelity bond covering the plan	2012-12-31	$550,000
Total contributions received or receivable from participants	2012-12-31	$9,900
Expenses. Other expenses not covered elsewhere	2012-12-31	$15,753
Contributions received from other sources (not participants or employers)	2012-12-31	$344,061
Other income received	2012-12-31	$7,942
Noncash contributions received	2012-12-31	$0
Net income (gross income less expenses)	2012-12-31	$353,838
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$197,005
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$-156,833
Assets. Value of participant loans	2012-12-31	$16,391
Assets. Value of real-estate (other than employer real property)	2012-12-31	$130,000
Total contributions received or receivable from employer(s)	2012-12-31	$7,688
Value of certain deemed distributions of participant loans	2012-12-31	$0
Value of corrective distributions	2012-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$0
2011 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2011 401k financial data
Transfers to/from the plan	2011-12-31	$0
Total plan liabilities at end of year	2011-12-31	$312,429
Total plan liabilities at beginning of year	2011-12-31	$321,782
Total income from all sources	2011-12-31	$39,564
Expenses. Total of all expenses incurred	2011-12-31	$18,292
Benefits paid (including direct rollovers)	2011-12-31	$0
Total plan assets at end of year	2011-12-31	$155,596
Total plan assets at beginning of year	2011-12-31	$143,677
Value of fidelity bond covering the plan	2011-12-31	$550,000
Total contributions received or receivable from participants	2011-12-31	$27,700
Expenses. Other expenses not covered elsewhere	2011-12-31	$18,292
Contributions received from other sources (not participants or employers)	2011-12-31	$0
Other income received	2011-12-31	$0
Noncash contributions received	2011-12-31	$0
Net income (gross income less expenses)	2011-12-31	$21,272
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$-156,833
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$-178,105
Assets. Value of real-estate (other than employer real property)	2011-12-31	$130,000
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2011-12-31	$7,900
Total contributions received or receivable from employer(s)	2011-12-31	$11,864
Value of certain deemed distributions of participant loans	2011-12-31	$0
Value of corrective distributions	2011-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2011-12-31	$0
2010 : JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2010 401k financial data
Transfers to/from the plan	2010-12-31	$0
Total plan liabilities at end of year	2010-12-31	$321,782
Total plan liabilities at beginning of year	2010-12-31	$334,000
Total income from all sources	2010-12-31	$-47,624
Expenses. Total of all expenses incurred	2010-12-31	$37,681
Benefits paid (including direct rollovers)	2010-12-31	$20,339
Total plan assets at end of year	2010-12-31	$143,677
Total plan assets at beginning of year	2010-12-31	$241,200
Value of fidelity bond covering the plan	2010-12-31	$25,000
Total contributions received or receivable from participants	2010-12-31	$22,078
Expenses. Other expenses not covered elsewhere	2010-12-31	$17,342
Contributions received from other sources (not participants or employers)	2010-12-31	$1,130
Other income received	2010-12-31	$-100,000
Noncash contributions received	2010-12-31	$0
Net income (gross income less expenses)	2010-12-31	$-85,305
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$-178,105
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$-92,800
Assets. Value of real-estate (other than employer real property)	2010-12-31	$130,000
Value of participant contributions where there was a failure to transmit these to the plan within the time period described in 29 CFR 2510.3-102	2010-12-31	$2,113
Total contributions received or receivable from employer(s)	2010-12-31	$29,168
Value of certain deemed distributions of participant loans	2010-12-31	$0
Value of corrective distributions	2010-12-31	$0
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

Form 5500 Responses for JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN

2019: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: JAMES & ASSOCIATES 401(K) PROFIT SHARING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: JAMES & ASSOCIATES 401(K) PROFIT SHARING 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 – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: JAMES & ASSOCIATES 401(K) PROFIT SHARING 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 – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: JAMES & ASSOCIATES 401(K) PROFIT SHARING 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 is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: JAMES & ASSOCIATES 401(K) PROFIT SHARING 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

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Company Name:	CAREY A. JAMES, A SOLE PROPRIETORSHIP
Employer identification number (EIN):	770459442
NAIC Classification:	523900

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2019-01-01	CAREY A. JAMES	2020-10-15
001	2018-01-01	CAREY A. JAMES	2019-10-15
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01
001	2013-01-01	CAREY A. JAMES
001	2012-01-01	CAREY A. JAMES
001	2011-01-01	CAREY A. JAMES
001	2010-01-01	DOUGLAS S. HENDRY
001	2009-01-01	DOUGLAS S. HENDRY