401k Plan data: SIEGEL OIL COMPANY 401(K) PLAN plan

SIEGEL OIL COMPANY 401(K) PLAN 401k Plan overview

Plan Name	SIEGEL OIL COMPANY 401(K) PLAN
Plan identification number	001

SIEGEL OIL COMPANY 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.
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) received services of leased employees, as defined in Code section 414(n), during the plan year.

401k Sponsoring company profile

SIEGEL OIL COMPANY has sponsored the creation of one or more 401k plans.

Company Name: SIEGEL OIL COMPANY

Employer identification number (EIN): 840319280

NAIC Classification: 424700

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SIEGEL OIL COMPANY 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2018-01-01 DAVE ROGERS 2018-11-14
001 2017-01-01 DAVE ROGERS
001 2016-01-01 DAVE ROGERS
001 2015-01-01 DAVE ROGERS 2016-06-21
001 2014-01-01 DAVE ROGERS 2016-06-21
001 2014-01-01 DAVE ROGERS 2015-09-24
001 2013-01-01 DAVE ROGERS 2015-05-27
001 2012-01-01 DAVE ROGERS 2013-10-10
001 2011-01-01 DAVE ROGERS 2012-07-24 DAVE ROGERS 2012-07-24
001 2010-01-01 RON SIMS 2011-05-24

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2018-01-01	DAVE ROGERS	2018-11-14
001	2017-01-01	DAVE ROGERS
001	2016-01-01	DAVE ROGERS
001	2015-01-01	DAVE ROGERS	2016-06-21
001	2014-01-01	DAVE ROGERS	2016-06-21
001	2014-01-01	DAVE ROGERS	2015-09-24
001	2013-01-01	DAVE ROGERS	2015-05-27
001	2012-01-01	DAVE ROGERS	2013-10-10
001	2011-01-01	DAVE ROGERS	2012-07-24	DAVE ROGERS	2012-07-24
001	2010-01-01	RON SIMS	2011-05-24

Plan Statistics for SIEGEL OIL COMPANY 401(K) PLAN

401k plan membership statisitcs for SIEGEL OIL COMPANY 401(K) PLAN

Measure Date Value
2017: SIEGEL OIL COMPANY 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 100
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 0
Number of retired or separated participants receiving benefits 2017-01-01 2
Number of other retired or separated participants entitled to future benefits 2017-01-01 68
Total of all active and inactive participants 2017-01-01 70
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 70
Number of participants with account balances 2017-01-01 70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 1
2016: SIEGEL OIL COMPANY 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 137
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 78
Number of retired or separated participants receiving benefits 2016-01-01 1
Number of other retired or separated participants entitled to future benefits 2016-01-01 21
Total of all active and inactive participants 2016-01-01 100
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 100
Number of participants with account balances 2016-01-01 70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 7

Measure	Date	Value
2017: SIEGEL OIL COMPANY 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	100
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	0
Number of retired or separated participants receiving benefits	2017-01-01	2
Number of other retired or separated participants entitled to future benefits	2017-01-01	68
Total of all active and inactive participants	2017-01-01	70
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	70
Number of participants with account balances	2017-01-01	70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	1
2016: SIEGEL OIL COMPANY 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	137
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	78
Number of retired or separated participants receiving benefits	2016-01-01	1
Number of other retired or separated participants entitled to future benefits	2016-01-01	21
Total of all active and inactive participants	2016-01-01	100
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	100
Number of participants with account balances	2016-01-01	70
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	7

Financial Data on SIEGEL OIL COMPANY 401(K) PLAN

Measure	Date	Value
2017 : SIEGEL OIL COMPANY 401(K) 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	$700,419
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$455,889
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$366,981
Expenses. Certain deemed distributions of participant loans	2017-12-31	$9,538
Value of total corrective distributions	2017-12-31	$65,165
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$292,348
Value of total assets at end of year	2017-12-31	$2,822,858
Value of total assets at beginning of year	2017-12-31	$2,578,328
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$14,205
Total interest from all sources	2017-12-31	$8,597
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2017-12-31	$0
Administrative expenses professional fees incurred	2017-12-31	$7,500
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$400,000
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	$195,902
Participant contributions at end of year	2017-12-31	$40,419
Participant contributions at beginning of year	2017-12-31	$39,822
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$21,198
Other income not declared elsewhere	2017-12-31	$1,251
Administrative expenses (other) incurred	2017-12-31	$3,190
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	$244,530
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$2,822,858
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$2,578,328
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 pooled separate accounts at end of year	2017-12-31	$2,175,482
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$1,833,184
Interest on participant loans	2017-12-31	$1,756
Interest earned on other investments	2017-12-31	$6,841
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2017-12-31	$606,957
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2017-12-31	$630,322
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$398,223
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	$75,248
Employer contributions (assets) at end of year	2017-12-31	$0
Employer contributions (assets) at beginning of year	2017-12-31	$75,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$366,981
Contract administrator fees	2017-12-31	$3,515
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	HAYNIE & COMPANY CPA PC
Accountancy firm EIN	2017-12-31	870325228
2016 : SIEGEL OIL COMPANY 401(K) 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	$438,345
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$460,334
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$456,867
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$327,741
Value of total assets at end of year	2016-12-31	$2,578,328
Value of total assets at beginning of year	2016-12-31	$2,600,317
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$3,467
Total interest from all sources	2016-12-31	$9,118
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$400,000
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	$252,741
Participant contributions at end of year	2016-12-31	$39,822
Participant contributions at beginning of year	2016-12-31	$36,091
Other income not declared elsewhere	2016-12-31	$1,325
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	$-21,989
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$2,578,328
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$2,600,317
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 pooled separate accounts at end of year	2016-12-31	$1,833,184
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$1,747,916
Interest on participant loans	2016-12-31	$1,613
Interest earned on other investments	2016-12-31	$7,505
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2016-12-31	$630,322
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2016-12-31	$741,310
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$100,161
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	$75,000
Employer contributions (assets) at end of year	2016-12-31	$75,000
Employer contributions (assets) at beginning of year	2016-12-31	$75,000
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$456,867
Contract administrator fees	2016-12-31	$3,467
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	HAYNIE & COMPANY CPA PC
Accountancy firm EIN	2016-12-31	870325228

Form 5500 Responses for SIEGEL OIL COMPANY 401(K) PLAN

2017: SIEGEL OIL COMPANY 401(K) 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: SIEGEL OIL COMPANY 401(K) 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

GREAT-WEST LIFE & ANNUITY INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 68322 )

Policy contract number

938962-01

Policy instance

Insurance contract or identification number	938962-01
Number of Individuals Covered	70
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $9,291
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?	No
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?	Yes
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
Commission paid to Insurance Broker	USD $9,291
Insurance broker organization code?	3
Insurance broker name	MICHAEL HEFFERNAN

Potentially related plans

SIEGEL OIL CO. PROFIT SHARING PLAN [EIN = 591998381]

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Company Name:	SIEGEL OIL COMPANY
Employer identification number (EIN):	840319280
NAIC Classification:	424700