401k Plan data: ASW. PENGG RETIREMENT PLAN plan

ASW. PENGG RETIREMENT PLAN 401k Plan overview

Plan Name	ASW. PENGG RETIREMENT PLAN
Plan identification number	005

ASW. PENGG RETIREMENT 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

ASW. PENGG LLC has sponsored the creation of one or more 401k plans.

Company Name: ASW. PENGG LLC

Employer identification number (EIN): 813248646

NAIC Classification: 332610

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ASW. PENGG RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
005 2022-01-01 JOE PETRASKO 2023-10-12 JOE PETRASKO 2023-10-12
005 2021-01-01 JOE PETRASKO 2022-09-26 JOE PETRASKO 2022-09-26
005 2020-01-01
005 2019-01-01
005 2018-01-01
005 2017-01-01 GREG BOKAR GREG BOKAR 2018-10-11
005 2017-01-01
005 2016-01-01 GREG BOKAR GREG BOKAR 2017-09-14
005 2016-01-01 TIMOTHY W. SELHORST 2019-10-15

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
005	2022-01-01	JOE PETRASKO	2023-10-12	JOE PETRASKO	2023-10-12
005	2021-01-01	JOE PETRASKO	2022-09-26	JOE PETRASKO	2022-09-26
005	2020-01-01
005	2019-01-01
005	2018-01-01
005	2017-01-01	GREG BOKAR		GREG BOKAR	2018-10-11
005	2017-01-01
005	2016-01-01	GREG BOKAR		GREG BOKAR	2017-09-14
005	2016-01-01			TIMOTHY W. SELHORST	2019-10-15

Plan Statistics for ASW. PENGG RETIREMENT PLAN

401k plan membership statisitcs for ASW. PENGG RETIREMENT PLAN

Measure Date Value
2020: ASW. PENGG RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 173
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 18
Number of retired or separated participants receiving benefits 2020-01-01 5
Number of other retired or separated participants entitled to future benefits 2020-01-01 55
Total of all active and inactive participants 2020-01-01 78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 78
Number of participants with account balances 2020-01-01 75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: ASW. PENGG RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 181
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 96
Number of retired or separated participants receiving benefits 2019-01-01 8
Number of other retired or separated participants entitled to future benefits 2019-01-01 67
Total of all active and inactive participants 2019-01-01 171
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 171
Number of participants with account balances 2019-01-01 141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: ASW. PENGG RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 226
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 95
Number of retired or separated participants receiving benefits 2018-01-01 8
Number of other retired or separated participants entitled to future benefits 2018-01-01 72
Total of all active and inactive participants 2018-01-01 175
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 175
Number of participants with account balances 2018-01-01 152
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: ASW. PENGG RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 246
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 147
Number of retired or separated participants receiving benefits 2017-01-01 9
Number of other retired or separated participants entitled to future benefits 2017-01-01 65
Total of all active and inactive participants 2017-01-01 221
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 221
Number of participants with account balances 2017-01-01 186
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 0
2016: ASW. PENGG RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 203
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 177
Number of retired or separated participants receiving benefits 2016-01-01 8
Number of other retired or separated participants entitled to future benefits 2016-01-01 57
Total of all active and inactive participants 2016-01-01 242
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 242
Number of participants with account balances 2016-01-01 199
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0

Measure	Date	Value
2020: ASW. PENGG RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	173
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	18
Number of retired or separated participants receiving benefits	2020-01-01	5
Number of other retired or separated participants entitled to future benefits	2020-01-01	55
Total of all active and inactive participants	2020-01-01	78
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	78
Number of participants with account balances	2020-01-01	75
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: ASW. PENGG RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	181
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	96
Number of retired or separated participants receiving benefits	2019-01-01	8
Number of other retired or separated participants entitled to future benefits	2019-01-01	67
Total of all active and inactive participants	2019-01-01	171
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	171
Number of participants with account balances	2019-01-01	141
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: ASW. PENGG RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	226
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	95
Number of retired or separated participants receiving benefits	2018-01-01	8
Number of other retired or separated participants entitled to future benefits	2018-01-01	72
Total of all active and inactive participants	2018-01-01	175
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	175
Number of participants with account balances	2018-01-01	152
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: ASW. PENGG RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	246
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	147
Number of retired or separated participants receiving benefits	2017-01-01	9
Number of other retired or separated participants entitled to future benefits	2017-01-01	65
Total of all active and inactive participants	2017-01-01	221
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	221
Number of participants with account balances	2017-01-01	186
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	0
2016: ASW. PENGG RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	203
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	177
Number of retired or separated participants receiving benefits	2016-01-01	8
Number of other retired or separated participants entitled to future benefits	2016-01-01	57
Total of all active and inactive participants	2016-01-01	242
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	242
Number of participants with account balances	2016-01-01	199
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0

Financial Data on ASW. PENGG RETIREMENT PLAN

Measure	Date	Value
2020 : ASW. PENGG RETIREMENT PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$1,821,497
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$10,596,050
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$10,488,027
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$230,225
Value of total assets at end of year	2020-12-31	$8,537,226
Value of total assets at beginning of year	2020-12-31	$17,311,779
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$108,023
Total interest from all sources	2020-12-31	$204,363
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$43,876
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$43,876
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$250,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$174,343
Participant contributions at end of year	2020-12-31	$18,749
Participant contributions at beginning of year	2020-12-31	$170,973
Participant contributions at end of year	2020-12-31	$2,047
Participant contributions at beginning of year	2020-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$3,444
Other income not declared elsewhere	2020-12-31	$42,062
Administrative expenses (other) incurred	2020-12-31	$108,023
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$-8,774,553
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$8,537,226
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$17,311,779
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$4,489,319
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$8,115,653
Interest on participant loans	2020-12-31	$6,985
Interest earned on other investments	2020-12-31	$197,094
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2020-12-31	$13,405
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2020-12-31	$121,283
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2020-12-31	$121,283
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2020-12-31	$284
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$4,013,419
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$8,903,870
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$1,300,971
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$52,438
Employer contributions (assets) at end of year	2020-12-31	$287
Employer contributions (assets) at beginning of year	2020-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$10,488,027
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	COHEN & COMPANY, LTD.
Accountancy firm EIN	2020-12-31	341912961
2019 : ASW. PENGG RETIREMENT PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$2,797,027
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$2,280,883
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$2,153,325
Expenses. Certain deemed distributions of participant loans	2019-12-31	$3,658
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$465,247
Value of total assets at end of year	2019-12-31	$17,311,779
Value of total assets at beginning of year	2019-12-31	$16,795,635
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$123,900
Total interest from all sources	2019-12-31	$260,194
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$80,080
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$80,080
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$250,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$355,673
Participant contributions at end of year	2019-12-31	$170,973
Participant contributions at beginning of year	2019-12-31	$170,270
Participant contributions at beginning of year	2019-12-31	$14,367
Other income not declared elsewhere	2019-12-31	$45,183
Administrative expenses (other) incurred	2019-12-31	$123,900
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$516,144
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$17,311,779
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$16,795,635
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$8,115,653
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$7,851,064
Interest on participant loans	2019-12-31	$8,301
Interest earned on other investments	2019-12-31	$249,863
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2019-12-31	$121,283
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2019-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2019-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$2,030
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$8,903,870
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$8,755,954
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$1,946,323
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$109,574
Employer contributions (assets) at beginning of year	2019-12-31	$3,980
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$2,153,325
Did the plan have assets held for investment	2019-12-31	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	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	COHEN & COMPANY, LTD.
Accountancy firm EIN	2019-12-31	341912961
2018 : ASW. PENGG RETIREMENT PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$418,560
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$2,252,491
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$2,198,126
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$600,012
Value of total assets at end of year	2018-12-31	$16,795,635
Value of total assets at beginning of year	2018-12-31	$18,629,566
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$54,365
Total interest from all sources	2018-12-31	$281,970
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$67,636
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$67,636
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$405,040
Participant contributions at end of year	2018-12-31	$170,270
Participant contributions at beginning of year	2018-12-31	$229,469
Participant contributions at end of year	2018-12-31	$14,367
Participant contributions at beginning of year	2018-12-31	$15,146
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$50,308
Other income not declared elsewhere	2018-12-31	$47,512
Administrative expenses (other) incurred	2018-12-31	$54,365
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-1,833,931
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$16,795,635
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$18,629,566
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$7,851,064
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$8,801,584
Interest on participant loans	2018-12-31	$8,520
Interest earned on other investments	2018-12-31	$271,985
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2018-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$165,884
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$165,884
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$1,465
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$8,755,954
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$9,411,698
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-578,570
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$144,664
Employer contributions (assets) at end of year	2018-12-31	$3,980
Employer contributions (assets) at beginning of year	2018-12-31	$5,785
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$2,198,126
Did the plan have assets held for investment	2018-12-31	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	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	COHEN & COMPANY, LTD.
Accountancy firm EIN	2018-12-31	341912961
2017 : ASW. PENGG RETIREMENT PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$2,689,654
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$1,941,980
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,886,184
Expenses. Certain deemed distributions of participant loans	2017-12-31	$3,118
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$586,574
Value of total assets at end of year	2017-12-31	$18,629,566
Value of total assets at beginning of year	2017-12-31	$17,881,892
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$52,678
Total interest from all sources	2017-12-31	$296,197
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$51,559
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$51,559
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$423,710
Participant contributions at end of year	2017-12-31	$229,469
Participant contributions at beginning of year	2017-12-31	$319,035
Participant contributions at end of year	2017-12-31	$15,146
Participant contributions at beginning of year	2017-12-31	$18,331
Other income not declared elsewhere	2017-12-31	$46,551
Administrative expenses (other) incurred	2017-12-31	$52,678
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$747,674
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$18,629,566
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$17,881,892
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$8,801,584
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$7,418,254
Interest on participant loans	2017-12-31	$9,025
Interest earned on other investments	2017-12-31	$286,566
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$165,884
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$254,516
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$254,516
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$606
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$9,411,698
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$9,864,515
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$1,708,773
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$162,864
Employer contributions (assets) at end of year	2017-12-31	$5,785
Employer contributions (assets) at beginning of year	2017-12-31	$7,241
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,886,184
Did the plan have assets held for investment	2017-12-31	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	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	COHEN & COMPANY, LTD.
Accountancy firm EIN	2017-12-31	341912961
2016 : ASW. PENGG RETIREMENT PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$1,385,335
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$1,375,546
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,317,431
Expenses. Certain deemed distributions of participant loans	2016-12-31	$1,698
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$683,819
Value of total assets at end of year	2016-12-31	$17,881,892
Value of total assets at beginning of year	2016-12-31	$17,872,103
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$56,417
Total interest from all sources	2016-12-31	$309,806
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$59,732
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	$59,732
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$491,060
Participant contributions at end of year	2016-12-31	$319,035
Participant contributions at beginning of year	2016-12-31	$300,310
Participant contributions at end of year	2016-12-31	$18,331
Participant contributions at beginning of year	2016-12-31	$0
Other income not declared elsewhere	2016-12-31	$50,824
Administrative expenses (other) incurred	2016-12-31	$56,417
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	$9,789
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$17,881,892
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$17,872,103
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$7,418,254
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$7,490,374
Interest on participant loans	2016-12-31	$15,900
Interest earned on other investments	2016-12-31	$293,867
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$254,516
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$242,435
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$242,435
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$39
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$9,864,515
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$9,838,984
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$281,154
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
Contributions received in cash from employer	2016-12-31	$192,759
Employer contributions (assets) at end of year	2016-12-31	$7,241
Employer contributions (assets) at beginning of year	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,317,431
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	COHEN & COMPANY, LTD.
Accountancy firm EIN	2016-12-31	341912961

Form 5500 Responses for ASW. PENGG RETIREMENT PLAN

2020: ASW. PENGG RETIREMENT PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Mulitple employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Insurance	Yes
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: ASW. PENGG RETIREMENT PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Mulitple employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: ASW. PENGG RETIREMENT PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Mulitple employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: ASW. PENGG RETIREMENT PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: ASW. PENGG RETIREMENT PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )

Policy contract number

006329

Policy instance

Insurance contract or identification number	006329
Number of Individuals Covered	78
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )

Policy contract number

006329

Policy instance

Insurance contract or identification number	006329
Number of Individuals Covered	171
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )

Policy contract number

006329

Policy instance

Insurance contract or identification number	006329
Number of Individuals Covered	175
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRUDENTIAL ANNUITIES SERVICE (National Association of Insurance Commissioners NAIC id number: 68241 )

Policy contract number

006329

Policy instance

Insurance contract or identification number	006329
Number of Individuals Covered	221
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	No
Are there contracts with allocated funds for types other than group deferred annuity or individual?	No
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Are there contracts with unallocated funds for contracts of type immediate participation guarantee?	No
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	ASW. PENGG LLC
Employer identification number (EIN):	813248646
NAIC Classification:	332610