401k Plan data: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN plan

ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 401k Plan overview

Plan Name	ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN
Plan identification number	001

ASV HOLDINGS, INC. EMPLOYEES' 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.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

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

Company Name: ASV HOLDINGS, INC.

Employer identification number (EIN): 821501649

NAIC Classification: 333100

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2021-01-01
001 2020-01-01
001 2020-01-01
001 2019-01-01
001 2018-01-01
001 2017-12-01 JEFF DINGMAN JEFF DINGMAN 2018-06-08
001 2017-12-01

Plan Statistics for ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN

401k plan membership statisitcs for ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN

Measure Date Value
2021: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 189
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 0
Total of all active and inactive participants 2021-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 0
Number of participants with account balances 2021-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 0
2020: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 203
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 189
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 0
Total of all active and inactive participants 2020-01-01 189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 189
Number of participants with account balances 2020-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 0
2019: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 191
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 188
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 15
Total of all active and inactive participants 2019-01-01 203
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 203
Number of participants with account balances 2019-01-01 155
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 162
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 179
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 12
Total of all active and inactive participants 2018-01-01 191
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 191
Number of participants with account balances 2018-01-01 139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 0
2017: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-12-01 153
Total number of active participants reported on line 7a of the Form 5500 2017-12-01 153
Number of retired or separated participants receiving benefits 2017-12-01 0
Number of other retired or separated participants entitled to future benefits 2017-12-01 6
Total of all active and inactive participants 2017-12-01 159
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-12-01 0
Total participants 2017-12-01 159
Number of participants with account balances 2017-12-01 125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-12-01 0

Measure	Date	Value
2021: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	189
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	0
Total of all active and inactive participants	2021-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	0
Number of participants with account balances	2021-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	0
2020: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	203
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	189
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	0
Total of all active and inactive participants	2020-01-01	189
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	189
Number of participants with account balances	2020-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	0
2019: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	191
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	188
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	15
Total of all active and inactive participants	2019-01-01	203
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	203
Number of participants with account balances	2019-01-01	155
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	162
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	179
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	12
Total of all active and inactive participants	2018-01-01	191
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	191
Number of participants with account balances	2018-01-01	139
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	0
2017: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-12-01	153
Total number of active participants reported on line 7a of the Form 5500	2017-12-01	153
Number of retired or separated participants receiving benefits	2017-12-01	0
Number of other retired or separated participants entitled to future benefits	2017-12-01	6
Total of all active and inactive participants	2017-12-01	159
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-12-01	0
Total participants	2017-12-01	159
Number of participants with account balances	2017-12-01	125
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-12-01	0

Financial Data on ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN

Measure	Date	Value
2021 : ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-01-04	$0
Total transfer of assets from this plan	2021-01-04	$6,616,211
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-01-04	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-01-04	$0
Total income from all sources (including contributions)	2021-01-04	$0
Total loss/gain on sale of assets	2021-01-04	$0
Total of all expenses incurred	2021-01-04	$0
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-01-04	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-01-04	$0
Value of total assets at end of year	2021-01-04	$0
Value of total assets at beginning of year	2021-01-04	$6,616,211
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-01-04	$0
Total interest from all sources	2021-01-04	$0
Total dividends received (eg from common stock, registered investment company shares)	2021-01-04	$0
Was this plan covered by a fidelity bond	2021-01-04	Yes
Value of fidelity bond cover	2021-01-04	$500,000
If this is an individual account plan, was there a blackout period	2021-01-04	Yes
Were there any nonexempt tranactions with any party-in-interest	2021-01-04	No
Participant contributions at beginning of year	2021-01-04	$68,517
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-01-04	No
Value of net income/loss	2021-01-04	$0
Value of net assets at end of year (total assets less liabilities)	2021-01-04	$0
Value of net assets at beginning of year (total assets less liabilities)	2021-01-04	$6,616,211
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-01-04	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-01-04	No
Were any leases to which the plan was party in default or uncollectible	2021-01-04	No
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-01-04	$6,539,921
Value of interest in common/collective trusts at beginning of year	2021-01-04	$7,773
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-01-04	No
Was there a failure to transmit to the plan any participant contributions	2021-01-04	No
Has the plan failed to provide any benefit when due under the plan	2021-01-04	No
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2021-01-04	Yes
Did the plan have assets held for investment	2021-01-04	No
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	2021-01-04	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-01-04	Yes
Opinion of an independent qualified public accountant for this plan	2021-01-04	Unqualified
Accountancy firm name	2021-01-04	OLSEN THIELEN & CO., LTD.
Accountancy firm EIN	2021-01-04	411360831
2020 : ASV HOLDINGS, INC. EMPLOYEES' 401(K) 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	$1,812,822
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$632,837
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$599,488
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,025,060
Value of total assets at end of year	2020-12-31	$6,616,211
Value of total assets at beginning of year	2020-12-31	$5,436,226
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$33,349
Total interest from all sources	2020-12-31	$3,083
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$13,496
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2020-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$13,496
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$500,000
If this is an individual account plan, was there a blackout period	2020-12-31	Yes
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	$689,412
Participant contributions at end of year	2020-12-31	$68,517
Participant contributions at beginning of year	2020-12-31	$61,434
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$3,868
Other income not declared elsewhere	2020-12-31	$0
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	$1,179,985
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$6,616,211
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$5,436,226
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
Investment advisory and management fees	2020-12-31	$17,531
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$6,539,921
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$5,311,300
Interest on participant loans	2020-12-31	$3,083
Income. Interest from loans (other than to participants)	2020-12-31	$0
Value of interest in common/collective trusts at end of year	2020-12-31	$7,773
Value of interest in common/collective trusts at beginning of year	2020-12-31	$63,492
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$769,326
Net investment gain or loss from common/collective trusts	2020-12-31	$1,857
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	$331,780
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$599,488
Contract administrator fees	2020-12-31	$15,818
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2020-12-31	Yes
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	Unqualified
Accountancy firm name	2020-12-31	OLSEN THIELEN CO., LTD
Accountancy firm EIN	2020-12-31	411360831
2019 : ASV HOLDINGS, INC. EMPLOYEES' 401(K) 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	$2,036,621
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$232,386
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$209,222
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$1,151,925
Value of total assets at end of year	2019-12-31	$5,436,226
Value of total assets at beginning of year	2019-12-31	$3,631,991
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$23,164
Total interest from all sources	2019-12-31	$4,714
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$115,486
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	$115,486
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$500,000
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	$726,268
Participant contributions at end of year	2019-12-31	$61,434
Participant contributions at beginning of year	2019-12-31	$75,498
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$85,052
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	$1,804,235
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$5,436,226
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$3,631,991
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
Investment advisory and management fees	2019-12-31	$10,659
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$5,311,300
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$3,552,776
Interest on participant loans	2019-12-31	$4,714
Income. Interest from loans (other than to participants)	2019-12-31	$0
Value of interest in common/collective trusts at end of year	2019-12-31	$63,492
Value of interest in common/collective trusts at beginning of year	2019-12-31	$3,717
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$763,137
Net investment gain or loss from common/collective trusts	2019-12-31	$1,359
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	$340,605
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$209,222
Contract administrator fees	2019-12-31	$12,505
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	OLSEN THIELEN CO., LTD
Accountancy firm EIN	2019-12-31	411360831
2018 : ASV HOLDINGS, INC. EMPLOYEES' 401(K) 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	$858,844
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$50,768
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$33,553
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$1,109,775
Value of total assets at end of year	2018-12-31	$3,631,991
Value of total assets at beginning of year	2018-12-31	$2,823,915
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$17,215
Total interest from all sources	2018-12-31	$3,326
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$83,403
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	$83,403
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$500,000
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	$701,761
Participant contributions at end of year	2018-12-31	$75,498
Participant contributions at beginning of year	2018-12-31	$39,641
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$98,777
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	$808,076
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$3,631,991
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$2,823,915
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
Investment advisory and management fees	2018-12-31	$6,836
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$3,552,776
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$2,782,164
Interest on participant loans	2018-12-31	$3,326
Income. Interest from loans (other than to participants)	2018-12-31	$0
Value of interest in common/collective trusts at end of year	2018-12-31	$3,717
Value of interest in common/collective trusts at beginning of year	2018-12-31	$1,361
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2018-12-31	$749
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2018-12-31	$749
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-337,735
Net investment gain or loss from common/collective trusts	2018-12-31	$75
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	$309,237
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$33,553
Contract administrator fees	2018-12-31	$10,379
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	OLSEN THIELEN CO., LTD
Accountancy firm EIN	2018-12-31	411360831
2017 : ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total transfer of assets to this plan	2017-12-31	$2,732,046
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	$91,869
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$0
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$62,774
Value of total assets at end of year	2017-12-31	$2,823,915
Value of total assets at beginning of year	2017-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$0
Total interest from all sources	2017-12-31	$1,118
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$47,933
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	$47,933
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$2,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	Yes
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$43,509
Participant contributions at end of year	2017-12-31	$39,641
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	$91,869
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$2,823,915
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$0
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	$2,782,164
Interest on participant loans	2017-12-31	$369
Income. Interest from loans (other than to participants)	2017-12-31	$0
Value of interest in common/collective trusts at end of year	2017-12-31	$1,361
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$749
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$749
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$-19,958
Net investment gain or loss from common/collective trusts	2017-12-31	$2
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	$19,265
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-12-31	Yes
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	UHY LLP
Accountancy firm EIN	2017-12-31	200694403

Form 5500 Responses for ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN

2021: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	Yes
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single 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 – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single 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 – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single 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 – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: ASV HOLDINGS, INC. EMPLOYEES' 401(K) PLAN 2017 form 5500 responses
2017-12-01	Type of plan entity	Single employer plan
2017-12-01	First time form 5500 has been submitted	Yes
2017-12-01	Submission has been amended	No
2017-12-01	This submission is the final filing	No
2017-12-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2017-12-01	Plan is a collectively bargained plan	No
2017-12-01	Plan funding arrangement – Trust	Yes
2017-12-01	Plan benefit arrangement - Trust	Yes

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Company Name:	ASV HOLDINGS, INC.
Employer identification number (EIN):	821501649
NAIC Classification:	333100