401k Plan data: CHARLES M. SCHAYER & CO. RETIREMENT PLAN plan

CHARLES M. SCHAYER & CO. RETIREMENT PLAN 401k Plan overview

Plan Name	CHARLES M. SCHAYER & CO. RETIREMENT PLAN
Plan identification number	002

CHARLES M. SCHAYER & CO. RETIREMENT PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
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

CHARLES M SCHAYER & CO has sponsored the creation of one or more 401k plans.

Company Name: CHARLES M SCHAYER & CO

Employer identification number (EIN): 840589458

NAIC Classification: 541990
NAIC Description: All Other Professional, Scientific, and Technical Services

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CHARLES M. SCHAYER & CO. RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2017-01-01
002 2016-01-01 CHRIS HASTINGS 2017-06-23
002 2015-01-01 SHARON PATE 2016-07-27
002 2014-01-01 SHARON PATE SHARON PATE 2015-07-06
002 2014-01-01 SHARON PATE SHARON PATE 2015-07-06
002 2013-01-01 SHARON PATE SHARON PATE 2014-07-30
002 2012-01-01 SHARON PATE SHARON PATE 2013-07-15
002 2011-01-01 SHARON PATE SHARON PATE 2012-09-04
002 2010-01-01 SHARON PATE
002 2009-01-01 SHARON PATE

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2017-01-01
002	2016-01-01	CHRIS HASTINGS	2017-06-23
002	2015-01-01	SHARON PATE	2016-07-27
002	2014-01-01	SHARON PATE		SHARON PATE	2015-07-06
002	2014-01-01	SHARON PATE		SHARON PATE	2015-07-06
002	2013-01-01	SHARON PATE		SHARON PATE	2014-07-30
002	2012-01-01	SHARON PATE		SHARON PATE	2013-07-15
002	2011-01-01	SHARON PATE		SHARON PATE	2012-09-04
002	2010-01-01	SHARON PATE
002	2009-01-01	SHARON PATE

Plan Statistics for CHARLES M. SCHAYER & CO. RETIREMENT PLAN

401k plan membership statisitcs for CHARLES M. SCHAYER & CO. RETIREMENT PLAN

Measure Date Value
2014: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 48
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 33
Number of other retired or separated participants entitled to future benefits 2014-01-01 11
Total of all active and inactive participants 2014-01-01 44
Total participants 2014-01-01 44
Number of participants with account balances 2014-01-01 44
2013: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 47
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 39
Number of other retired or separated participants entitled to future benefits 2013-01-01 9
Total of all active and inactive participants 2013-01-01 48
Total participants 2013-01-01 48
Number of participants with account balances 2013-01-01 39
2012: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 52
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 40
Number of other retired or separated participants entitled to future benefits 2012-01-01 7
Total of all active and inactive participants 2012-01-01 47
Total participants 2012-01-01 47
Number of participants with account balances 2012-01-01 42
2011: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 51
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 45
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 7
Total of all active and inactive participants 2011-01-01 52
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 52
Number of participants with account balances 2011-01-01 45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 0
2010: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 50
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 46
Number of retired or separated participants receiving benefits 2010-01-01 0
Number of other retired or separated participants entitled to future benefits 2010-01-01 5
Total of all active and inactive participants 2010-01-01 51
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 51
Number of participants with account balances 2010-01-01 51
2009: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 56
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 45
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 5
Total of all active and inactive participants 2009-01-01 50
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 50
Number of participants with account balances 2009-01-01 50

Measure	Date	Value
2014: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	48
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	33
Number of other retired or separated participants entitled to future benefits	2014-01-01	11
Total of all active and inactive participants	2014-01-01	44
Total participants	2014-01-01	44
Number of participants with account balances	2014-01-01	44
2013: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	47
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	39
Number of other retired or separated participants entitled to future benefits	2013-01-01	9
Total of all active and inactive participants	2013-01-01	48
Total participants	2013-01-01	48
Number of participants with account balances	2013-01-01	39
2012: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	52
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	40
Number of other retired or separated participants entitled to future benefits	2012-01-01	7
Total of all active and inactive participants	2012-01-01	47
Total participants	2012-01-01	47
Number of participants with account balances	2012-01-01	42
2011: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	51
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	45
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	7
Total of all active and inactive participants	2011-01-01	52
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	52
Number of participants with account balances	2011-01-01	45
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	0
2010: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	50
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	46
Number of retired or separated participants receiving benefits	2010-01-01	0
Number of other retired or separated participants entitled to future benefits	2010-01-01	5
Total of all active and inactive participants	2010-01-01	51
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	51
Number of participants with account balances	2010-01-01	51
2009: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	56
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	45
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	5
Total of all active and inactive participants	2009-01-01	50
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	50
Number of participants with account balances	2009-01-01	50

Financial Data on CHARLES M. SCHAYER & CO. RETIREMENT PLAN

Measure	Date	Value
2014 : CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2014 401k financial data
Total income from all sources	2014-12-31	$136,077
Expenses. Total of all expenses incurred	2014-12-31	$97,508
Benefits paid (including direct rollovers)	2014-12-31	$90,335
Total plan assets at end of year	2014-12-31	$2,026,718
Total plan assets at beginning of year	2014-12-31	$1,988,149
Value of fidelity bond covering the plan	2014-12-31	$220,000
Total contributions received or receivable from participants	2014-12-31	$24,404
Other income received	2014-12-31	$60,973
Net income (gross income less expenses)	2014-12-31	$38,569
Net plan assets at end of year (total assets less liabilities)	2014-12-31	$2,026,718
Net plan assets at beginning of year (total assets less liabilities)	2014-12-31	$1,988,149
Assets. Value of participant loans	2014-12-31	$150,274
Total contributions received or receivable from employer(s)	2014-12-31	$50,700
Expenses. Administrative service providers (salaries,fees and commissions)	2014-12-31	$7,173
2013 : CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2013 401k financial data
Total income from all sources	2013-12-31	$211,503
Expenses. Total of all expenses incurred	2013-12-31	$220,752
Benefits paid (including direct rollovers)	2013-12-31	$213,649
Total plan assets at end of year	2013-12-31	$1,988,149
Total plan assets at beginning of year	2013-12-31	$1,997,398
Value of fidelity bond covering the plan	2013-12-31	$220,000
Total contributions received or receivable from participants	2013-12-31	$19,260
Other income received	2013-12-31	$142,243
Net income (gross income less expenses)	2013-12-31	$-9,249
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$1,988,149
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$1,997,398
Assets. Value of participant loans	2013-12-31	$137,086
Total contributions received or receivable from employer(s)	2013-12-31	$50,000
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$7,103
2012 : CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2012 401k financial data
Total income from all sources	2012-12-31	$181,533
Expenses. Total of all expenses incurred	2012-12-31	$174,992
Benefits paid (including direct rollovers)	2012-12-31	$173,932
Total plan assets at end of year	2012-12-31	$1,997,398
Total plan assets at beginning of year	2012-12-31	$1,990,857
Value of fidelity bond covering the plan	2012-12-31	$220,000
Total contributions received or receivable from participants	2012-12-31	$16,506
Other income received	2012-12-31	$117,027
Net income (gross income less expenses)	2012-12-31	$6,541
Net plan assets at end of year (total assets less liabilities)	2012-12-31	$1,997,398
Net plan assets at beginning of year (total assets less liabilities)	2012-12-31	$1,990,857
Assets. Value of participant loans	2012-12-31	$161,255
Total contributions received or receivable from employer(s)	2012-12-31	$48,000
Expenses. Administrative service providers (salaries,fees and commissions)	2012-12-31	$1,060
2011 : CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2011 401k financial data
Total income from all sources	2011-12-31	$56,443
Expenses. Total of all expenses incurred	2011-12-31	$72,641
Benefits paid (including direct rollovers)	2011-12-31	$71,053
Total plan assets at end of year	2011-12-31	$1,990,857
Total plan assets at beginning of year	2011-12-31	$2,007,055
Value of fidelity bond covering the plan	2011-12-31	$220,000
Total contributions received or receivable from participants	2011-12-31	$16,126
Expenses. Other expenses not covered elsewhere	2011-12-31	$1,588
Other income received	2011-12-31	$-11,683
Net income (gross income less expenses)	2011-12-31	$-16,198
Net plan assets at end of year (total assets less liabilities)	2011-12-31	$1,990,857
Net plan assets at beginning of year (total assets less liabilities)	2011-12-31	$2,007,055
Assets. Value of participant loans	2011-12-31	$177,651
Total contributions received or receivable from employer(s)	2011-12-31	$52,000
2010 : CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2010 401k financial data
Total income from all sources	2010-12-31	$188,628
Expenses. Total of all expenses incurred	2010-12-31	$16,120
Benefits paid (including direct rollovers)	2010-12-31	$14,798
Total plan assets at end of year	2010-12-31	$2,007,055
Total plan assets at beginning of year	2010-12-31	$1,834,547
Value of fidelity bond covering the plan	2010-12-31	$220,000
Total contributions received or receivable from participants	2010-12-31	$21,715
Expenses. Other expenses not covered elsewhere	2010-12-31	$1,322
Other income received	2010-12-31	$114,913
Net income (gross income less expenses)	2010-12-31	$172,508
Net plan assets at end of year (total assets less liabilities)	2010-12-31	$2,007,055
Net plan assets at beginning of year (total assets less liabilities)	2010-12-31	$1,834,547
Assets. Value of participant loans	2010-12-31	$164,993
Total contributions received or receivable from employer(s)	2010-12-31	$52,000

Form 5500 Responses for CHARLES M. SCHAYER & CO. RETIREMENT PLAN

2014: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Insurance	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement – Insurance	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Insurance	Yes
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement – Insurance	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	Yes
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Plan funding arrangement – Insurance	Yes
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement – Insurance	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: CHARLES M. SCHAYER & CO. RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Plan funding arrangement – Insurance	Yes
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement – Insurance	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

77205

Policy instance

Insurance contract or identification number	77205
Insurance policy start date	2014-01-01
Insurance policy end date	2014-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $7,173
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 guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	7173
Additional information about fees paid to insurance broker	BROKER COMMISSION
Insurance broker organization code?	6
Insurance broker name	AMEGY INVESTMENTS, INC.

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

77205

Policy instance

Insurance contract or identification number	77205
Insurance policy start date	2013-01-01
Insurance policy end date	2013-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $7,103
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 guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Amount paid for insurance broker fees	7103
Additional information about fees paid to insurance broker	BROKER COMMISION
Insurance broker organization code?	6
Insurance broker name	AMEGY INVESTMENTS, INC.

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

77205

Policy instance

Insurance contract or identification number	77205
Number of Individuals Covered	40
Insurance policy start date	2012-01-01
Insurance policy end date	2012-12-31
Total amount of commissions paid to insurance broker	USD $7,378
Total amount of fees paid to insurance company	USD $0
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 guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $7,378
Additional information about fees paid to insurance broker	INVESTMENT FEES
Insurance broker organization code?	6
Insurance broker name	AMEGY INVESTMENTS, INC.

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

77205

Policy instance

Insurance contract or identification number	77205
Number of Individuals Covered	50
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $7,846
Total amount of fees paid to insurance company	USD $494
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) (National Association of Insurance Commissioners NAIC id number: 65838 )

Policy contract number

77205

Policy instance

Insurance contract or identification number	77205
Number of Individuals Covered	50
Insurance policy start date	2010-01-01
Insurance policy end date	2010-12-31
Total amount of commissions paid to insurance broker	USD $7,234
Total amount of fees paid to insurance company	USD $293
Are there contracts with unallocated funds for contracts of type guaranteed investment?	Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No
Commission paid to Insurance Broker	USD $7,234
Amount paid for insurance broker fees	293
Additional information about fees paid to insurance broker	REDEMPTION FEES
Insurance broker organization code?	6
Insurance broker name	AMEGY INVESTMENTS, INC.

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Company Name:	CHARLES M SCHAYER & CO
Employer identification number (EIN):	840589458
NAIC Classification:	541990
NAIC Description:	All Other Professional, Scientific, and Technical Services