401k Plan data: MI9 401(K) PLAN plan

MI9 401(K) PLAN 401k Plan overview

Plan Name	MI9 401(K) PLAN
Plan identification number	002

MI9 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

SOFTWARE DEVELOPMENT, INC. DBA MI9 has sponsored the creation of one or more 401k plans.

Company Name: SOFTWARE DEVELOPMENT, INC. DBA MI9

Employer identification number (EIN): 942545354

NAIC Classification: 511210
NAIC Description: Software Publishers

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MI9 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2019-01-01
002 2018-01-01
002 2017-01-01 CATHERINE RECCO 2018-07-31 CATHERINE RECCO 2018-07-31
002 2016-01-01 CATHERINE RECCO 2017-07-24 CATHERINE RECCO 2017-07-24
002 2015-01-01 CATHERINE RECCO 2016-10-13 CATHERINE RECCO 2016-10-13
002 2014-01-01 SYLVIA MCKEWON 2015-10-09
002 2013-01-01 MICHAEL BURGE 2014-03-10
002 2012-01-01 MICHAEL BURGE 2013-05-28

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2019-01-01
002	2018-01-01
002	2017-01-01	CATHERINE RECCO	2018-07-31	CATHERINE RECCO	2018-07-31
002	2016-01-01	CATHERINE RECCO	2017-07-24	CATHERINE RECCO	2017-07-24
002	2015-01-01	CATHERINE RECCO	2016-10-13	CATHERINE RECCO	2016-10-13
002	2014-01-01	SYLVIA MCKEWON	2015-10-09
002	2013-01-01	MICHAEL BURGE	2014-03-10
002	2012-01-01	MICHAEL BURGE	2013-05-28

Plan Statistics for MI9 401(K) PLAN

401k plan membership statisitcs for MI9 401(K) PLAN

Measure Date Value
2019: MI9 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 149
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 0
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 0
Total of all active and inactive participants 2019-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 0
Number of participants with account balances 2019-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: MI9 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 135
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 112
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 37
Total of all active and inactive participants 2018-01-01 149
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 149
Number of participants with account balances 2018-01-01 107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 3

Measure	Date	Value
2019: MI9 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	149
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	0
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	0
Total of all active and inactive participants	2019-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	0
Number of participants with account balances	2019-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: MI9 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	135
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	112
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	37
Total of all active and inactive participants	2018-01-01	149
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	149
Number of participants with account balances	2018-01-01	107
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	3

Financial Data on MI9 401(K) PLAN

Measure	Date	Value
2019 : MI9 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-10-01	$0
Total transfer of assets from this plan	2019-10-01	$2,588,024
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-10-01	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-10-01	$0
Total income from all sources (including contributions)	2019-10-01	$563,798
Total loss/gain on sale of assets	2019-10-01	$0
Total of all expenses incurred	2019-10-01	$221,602
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-10-01	$216,784
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-10-01	$247,782
Value of total assets at end of year	2019-10-01	$0
Value of total assets at beginning of year	2019-10-01	$2,245,828
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-10-01	$4,818
Total interest from all sources	2019-10-01	$1,440
Total dividends received (eg from common stock, registered investment company shares)	2019-10-01	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-10-01	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2019-10-01	$0
Was this plan covered by a fidelity bond	2019-10-01	No
If this is an individual account plan, was there a blackout period	2019-10-01	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-10-01	$0
Were there any nonexempt tranactions with any party-in-interest	2019-10-01	No
Contributions received from participants	2019-10-01	$183,287
Participant contributions at end of year	2019-10-01	$0
Participant contributions at beginning of year	2019-10-01	$24,442
Income. Received or receivable in cash from other sources (including rollovers)	2019-10-01	$12,455
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-10-01	No
Value of net income/loss	2019-10-01	$342,196
Value of net assets at end of year (total assets less liabilities)	2019-10-01	$0
Value of net assets at beginning of year (total assets less liabilities)	2019-10-01	$2,245,828
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-10-01	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-10-01	No
Were any leases to which the plan was party in default or uncollectible	2019-10-01	No
Value of interest in pooled separate accounts at end of year	2019-10-01	$0
Value of interest in pooled separate accounts at beginning of year	2019-10-01	$2,201,762
Interest on participant loans	2019-10-01	$1,134
Interest earned on other investments	2019-10-01	$306
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-10-01	$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-10-01	$19,624
Net investment gain/loss from pooled separate accounts	2019-10-01	$314,576
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-10-01	No
Was there a failure to transmit to the plan any participant contributions	2019-10-01	No
Has the plan failed to provide any benefit when due under the plan	2019-10-01	No
Contributions received in cash from employer	2019-10-01	$52,040
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-10-01	$216,784
Contract administrator fees	2019-10-01	$4,818
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	2019-10-01	Yes
Did the plan have assets held for investment	2019-10-01	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	2019-10-01	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-10-01	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-10-01	Yes
Opinion of an independent qualified public accountant for this plan	2019-10-01	Disclaimer
Accountancy firm name	2019-10-01	MCSOLEY MCCOY & CO.
Accountancy firm EIN	2019-10-01	030327374
2018 : MI9 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	$809,812
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$471,170
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$466,422
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$969,322
Value of total assets at end of year	2018-12-31	$2,245,828
Value of total assets at beginning of year	2018-12-31	$1,907,186
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$4,748
Total interest from all sources	2018-12-31	$1,141
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	No
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	$526,401
Participant contributions at end of year	2018-12-31	$24,442
Participant contributions at beginning of year	2018-12-31	$17,140
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$302,736
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	$338,642
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$2,245,828
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$1,907,186
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 pooled separate accounts at end of year	2018-12-31	$2,201,762
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$1,886,128
Interest on participant loans	2018-12-31	$1,098
Interest earned on other investments	2018-12-31	$43
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2018-12-31	$19,624
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2018-12-31	$3,918
Net investment gain/loss from pooled separate accounts	2018-12-31	$-160,651
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	$140,185
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$466,422
Contract administrator fees	2018-12-31	$4,748
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	MCSOLEY MCCOY & CO.
Accountancy firm EIN	2018-12-31	030327374

Form 5500 Responses for MI9 401(K) PLAN

2019: MI9 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	Yes
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
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: MI9 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 – 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

Insurance Providers Used on plan

MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )

Policy contract number

0067872

Policy instance

Insurance contract or identification number	0067872
Number of Individuals Covered	0
Insurance policy start date	2019-01-01
Insurance policy end date	2019-10-01
Total amount of commissions paid to insurance broker	USD $8,504
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 $8,504
Insurance broker organization code?	3

MINNESOTA LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 66168 )

Policy contract number

0067872

Policy instance

Insurance contract or identification number	0067872
Number of Individuals Covered	149
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $9,976
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
Commission paid to Insurance Broker	USD $9,976
Insurance broker organization code?	3

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Company Name:	SOFTWARE DEVELOPMENT, INC. DBA MI9
Employer identification number (EIN):	942545354
NAIC Classification:	511210
NAIC Description:	Software Publishers