401k Plan data: AXCIENT 401(K) PLAN plan

AXCIENT 401(K) PLAN 401k Plan overview

Plan Name	AXCIENT 401(K) PLAN
Plan identification number	001

AXCIENT 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

AXCIENT, INC. has sponsored the creation of one or more 401k plans.

Company Name: AXCIENT, INC.

Employer identification number (EIN): 810557460

NAIC Classification: 541519
NAIC Description: Other Computer Related Services

Form 5500 Filing Information

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

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2016-01-01
001 2015-01-01 REBECCA LIAO
001 2014-01-01 LOPA KANSARA
001 2013-01-01 LOPA KANSARA 2014-07-14
001 2012-01-01 KELLY LEE DUGAN 2013-06-06
001 2011-01-01 KELLY LEE DUGAN 2012-07-31
001 2010-01-01 AXCIENT INC 2011-07-20

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
001	2016-01-01
001	2015-01-01	REBECCA LIAO
001	2014-01-01	LOPA KANSARA
001	2013-01-01	LOPA KANSARA	2014-07-14
001	2012-01-01	KELLY LEE DUGAN	2013-06-06
001	2011-01-01	KELLY LEE DUGAN	2012-07-31
001	2010-01-01	AXCIENT INC	2011-07-20

Plan Statistics for AXCIENT 401(K) PLAN

401k plan membership statisitcs for AXCIENT 401(K) PLAN

Measure Date Value
2016: AXCIENT 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 155
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 78
Number of other retired or separated participants entitled to future benefits 2016-01-01 60
Total of all active and inactive participants 2016-01-01 138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 138
Number of participants with account balances 2016-01-01 113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: AXCIENT 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 178
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 106
Number of other retired or separated participants entitled to future benefits 2015-01-01 49
Total of all active and inactive participants 2015-01-01 155
Total participants 2015-01-01 155
Number of participants with account balances 2015-01-01 139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 0
2014: AXCIENT 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 141
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 140
Number of other retired or separated participants entitled to future benefits 2014-01-01 38
Total of all active and inactive participants 2014-01-01 178
Total participants 2014-01-01 178
Number of participants with account balances 2014-01-01 123
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0

Measure	Date	Value
2016: AXCIENT 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	155
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	78
Number of other retired or separated participants entitled to future benefits	2016-01-01	60
Total of all active and inactive participants	2016-01-01	138
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	138
Number of participants with account balances	2016-01-01	113
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: AXCIENT 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	178
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	106
Number of other retired or separated participants entitled to future benefits	2015-01-01	49
Total of all active and inactive participants	2015-01-01	155
Total participants	2015-01-01	155
Number of participants with account balances	2015-01-01	139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	0
2014: AXCIENT 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	141
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	140
Number of other retired or separated participants entitled to future benefits	2014-01-01	38
Total of all active and inactive participants	2014-01-01	178
Total participants	2014-01-01	178
Number of participants with account balances	2014-01-01	123
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0

Financial Data on AXCIENT 401(K) PLAN

Measure	Date	Value
2016 : AXCIENT 401(K) PLAN 2016 401k financial data
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$22,106
Total income from all sources (including contributions)	2016-12-31	$929,311
Total of all expenses incurred	2016-12-31	$501,960
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$483,571
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$729,381
Value of total assets at end of year	2016-12-31	$2,682,959
Value of total assets at beginning of year	2016-12-31	$2,277,714
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$18,389
Total interest from all sources	2016-12-31	$315
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$90,892
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$90,892
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$200,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$703,766
Participant contributions at end of year	2016-12-31	$8,078
Participant contributions at beginning of year	2016-12-31	$6,737
Participant contributions at end of year	2016-12-31	$24,086
Participant contributions at beginning of year	2016-12-31	$32,506
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$25,615
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$171
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$65
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$22,106
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$427,351
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$2,682,959
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$2,255,608
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Investment advisory and management fees	2016-12-31	$15,841
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$2,650,624
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$2,238,406
Interest on participant loans	2016-12-31	$315
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$108,723
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$483,571
Contract administrator fees	2016-12-31	$2,548
Did the plan have assets held for investment	2016-12-31	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	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	SHEA, LABAGH, DOBBERSTEIN
Accountancy firm EIN	2016-12-31	942290202
2015 : AXCIENT 401(K) PLAN 2015 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$22,106
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$24,203
Total income from all sources (including contributions)	2015-12-31	$964,429
Total of all expenses incurred	2015-12-31	$654,094
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$614,408
Value of total corrective distributions	2015-12-31	$22,106
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$978,509
Value of total assets at end of year	2015-12-31	$2,277,714
Value of total assets at beginning of year	2015-12-31	$1,969,476
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$17,580
Total interest from all sources	2015-12-31	$61
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$28,580
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$28,580
Administrative expenses professional fees incurred	2015-12-31	$3,100
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$200,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$956,490
Participant contributions at end of year	2015-12-31	$6,737
Participant contributions at end of year	2015-12-31	$32,506
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$22,019
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$65
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$22,106
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$24,203
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$310,335
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$2,255,608
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$1,945,273
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Investment advisory and management fees	2015-12-31	$14,480
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$2,238,406
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$1,969,476
Interest on participant loans	2015-12-31	$61
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-42,721
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$614,408
Did the plan have assets held for investment	2015-12-31	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	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	SHEA, LABAGH, DOBBERSTEIN
Accountancy firm EIN	2015-12-31	942290202
2014 : AXCIENT 401(K) PLAN 2014 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$24,203
Total income from all sources (including contributions)	2014-12-31	$991,599
Total of all expenses incurred	2014-12-31	$334,915
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$293,254
Value of total corrective distributions	2014-12-31	$27,694
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$892,782
Value of total assets at end of year	2014-12-31	$1,969,476
Value of total assets at beginning of year	2014-12-31	$1,288,589
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$13,967
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$67,577
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$67,577
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$200,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$821,242
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$71,540
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$24,203
Administrative expenses (other) incurred	2014-12-31	$2,225
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$656,684
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$1,945,273
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$1,288,589
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Investment advisory and management fees	2014-12-31	$11,742
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$1,969,476
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$1,288,589
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$31,240
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$293,254
Did the plan have assets held for investment	2014-12-31	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	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	SHEA, LABAGH, DOBBERSTEIN
Accountancy firm EIN	2014-12-31	942290202

Form 5500 Responses for AXCIENT 401(K) PLAN

2016: AXCIENT 401(K) 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: AXCIENT 401(K) 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: AXCIENT 401(K) 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

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Company Name:	AXCIENT, INC.
Employer identification number (EIN):	810557460
NAIC Classification:	541519
NAIC Description:	Other Computer Related Services