401k Plan data: SMALL WORLD TRADING COMPANY, INC. 401(K) PLAN plan

SMALL WORLD TRADING COMPANY, INC. 401(K) PLAN 401k Plan overview

Plan Name	SMALL WORLD TRADING COMPANY, INC. 401(K) PLAN
Plan identification number	001

SMALL WORLD TRADING COMPANY, INC. 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.

401k Sponsoring company profile

SMALL WORLD TRADING COMPANY has sponsored the creation of one or more 401k plans.

Company Name: SMALL WORLD TRADING COMPANY

Employer identification number (EIN): 943146184

NAIC Classification: 446190

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SMALL WORLD TRADING COMPANY, INC. 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2020-01-01 PATRICK MARTIN 2021-10-14 PATRICK MARTIN 2021-10-14
001 2019-01-01 STEVE FOX 2020-10-13 STEVE FOX 2020-10-13
001 2018-01-01
001 2017-01-01
001 2016-01-01
001 2015-01-01
001 2014-01-01 CARA CAINDEC 2015-07-16 CARA CAINDEC 2015-07-16
001 2013-01-01 CARA CAINDEC 2014-07-31 CARA CAINDEC 2014-07-31
001 2012-01-01 CARA CAINDEC 2013-06-24 CARA CAINDEC 2013-06-24
001 2011-01-01 CARA CAINDEC 2012-06-21
001 2010-01-01 CARA CAINDEC 2011-08-19 CARA CAINDEC 2011-08-19

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2020-01-01	PATRICK MARTIN	2021-10-14	PATRICK MARTIN	2021-10-14
001	2019-01-01	STEVE FOX	2020-10-13	STEVE FOX	2020-10-13
001	2018-01-01
001	2017-01-01
001	2016-01-01
001	2015-01-01
001	2014-01-01	CARA CAINDEC	2015-07-16	CARA CAINDEC	2015-07-16
001	2013-01-01	CARA CAINDEC	2014-07-31	CARA CAINDEC	2014-07-31
001	2012-01-01	CARA CAINDEC	2013-06-24	CARA CAINDEC	2013-06-24
001	2011-01-01	CARA CAINDEC	2012-06-21
001	2010-01-01	CARA CAINDEC	2011-08-19	CARA CAINDEC	2011-08-19

Plan Statistics for SMALL WORLD TRADING COMPANY, INC. 401(K) PLAN

401k plan membership statisitcs for SMALL WORLD TRADING COMPANY, INC. 401(K) PLAN

Measure Date Value
2020: SMALL WORLD TRADING COMPANY, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 148
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 123
Number of retired or separated participants receiving benefits 2020-01-01 2
Number of other retired or separated participants entitled to future benefits 2020-01-01 18
Total of all active and inactive participants 2020-01-01 143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 143
Number of participants with account balances 2020-01-01 69
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 4
2019: SMALL WORLD TRADING COMPANY, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 129
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 129
Number of retired or separated participants receiving benefits 2019-01-01 1
Number of other retired or separated participants entitled to future benefits 2019-01-01 18
Total of all active and inactive participants 2019-01-01 148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 148
Number of participants with account balances 2019-01-01 71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 11

Measure	Date	Value
2020: SMALL WORLD TRADING COMPANY, INC. 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	148
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	123
Number of retired or separated participants receiving benefits	2020-01-01	2
Number of other retired or separated participants entitled to future benefits	2020-01-01	18
Total of all active and inactive participants	2020-01-01	143
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	143
Number of participants with account balances	2020-01-01	69
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	4
2019: SMALL WORLD TRADING COMPANY, INC. 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	129
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	129
Number of retired or separated participants receiving benefits	2019-01-01	1
Number of other retired or separated participants entitled to future benefits	2019-01-01	18
Total of all active and inactive participants	2019-01-01	148
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	148
Number of participants with account balances	2019-01-01	71
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	11

Financial Data on SMALL WORLD TRADING COMPANY, INC. 401(K) PLAN

Measure	Date	Value
2020 : SMALL WORLD TRADING COMPANY, INC. 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	$250,825
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$8,125
Total income from all sources (including contributions)	2020-12-31	$1,691,864
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$450,678
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$434,725
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$1,204,086
Value of total assets at end of year	2020-12-31	$3,378,310
Value of total assets at beginning of year	2020-12-31	$1,894,424
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$15,953
Total interest from all sources	2020-12-31	$2,223
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$69,662
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$200,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$312,415
Participant contributions at end of year	2020-12-31	$67,512
Participant contributions at beginning of year	2020-12-31	$8,965
Participant contributions at end of year	2020-12-31	$0
Participant contributions at beginning of year	2020-12-31	$12,736
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$826,667
Value of other receiveables (less allowance for doubtful accounts) at end of year	2020-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2020-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2020-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2020-12-31	$0
Total non interest bearing cash at end of year	2020-12-31	$12,626
Total non interest bearing cash at beginning of year	2020-12-31	$125
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	$1,241,186
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$3,127,485
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$1,886,299
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	$7,250
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$3,102,303
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$1,715,485
Interest on participant loans	2020-12-31	$1,988
Interest earned on other investments	2020-12-31	$235
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2020-12-31	$130,865
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2020-12-31	$94,984
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$415,893
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	$65,004
Employer contributions (assets) at end of year	2020-12-31	$65,004
Employer contributions (assets) at beginning of year	2020-12-31	$62,129
Income. Dividends from common stock	2020-12-31	$69,662
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$434,725
Contract administrator fees	2020-12-31	$8,703
Liabilities. Value of benefit claims payable at end of year	2020-12-31	$250,825
Liabilities. Value of benefit claims payable at beginning of year	2020-12-31	$8,125
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	SHEA LABAGH DOBBERSTEIN
Accountancy firm EIN	2020-12-31	942290202
2019 : SMALL WORLD TRADING COMPANY, INC. 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	$8,125
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	$706,638
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$143,506
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$130,919
Expenses. Certain deemed distributions of participant loans	2019-12-31	$1,202
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$398,977
Value of total assets at end of year	2019-12-31	$1,894,424
Value of total assets at beginning of year	2019-12-31	$1,323,167
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$11,385
Total interest from all sources	2019-12-31	$739
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$41,563
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	$41,563
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$150,000
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	$332,059
Participant contributions at end of year	2019-12-31	$8,965
Participant contributions at beginning of year	2019-12-31	$11,145
Participant contributions at end of year	2019-12-31	$12,736
Participant contributions at beginning of year	2019-12-31	$10,938
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$4,789
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$803
Total non interest bearing cash at end of year	2019-12-31	$125
Total non interest bearing cash at beginning of year	2019-12-31	$125
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	$563,132
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$1,886,299
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$1,323,167
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	$5,789
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$1,715,485
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$1,150,218
Interest on participant loans	2019-12-31	$439
Interest earned on other investments	2019-12-31	$300
Value of funds held in insurance company general accounts (unallocated contracts) at end of year	2019-12-31	$94,984
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year	2019-12-31	$78,758
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$265,359
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	$62,129
Employer contributions (assets) at end of year	2019-12-31	$62,129
Employer contributions (assets) at beginning of year	2019-12-31	$71,180
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$130,919
Contract administrator fees	2019-12-31	$5,596
Liabilities. Value of benefit claims payable at end of year	2019-12-31	$8,125
Liabilities. Value of benefit claims payable at beginning of year	2019-12-31	$0
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	SHEA LABAGH DOBBERSTEIN
Accountancy firm EIN	2019-12-31	942290202

Form 5500 Responses for SMALL WORLD TRADING COMPANY, INC. 401(K) PLAN

2020: SMALL WORLD TRADING COMPANY, INC. 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 – Insurance	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: SMALL WORLD TRADING COMPANY, INC. 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 – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

STANDARD INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 69019 )

Policy contract number

809868

Policy instance

Insurance contract or identification number	809868
Number of Individuals Covered	25
Insurance policy start date	2020-01-01
Insurance policy end date	2020-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	Yes
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	1
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?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

STANDARD INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 69019 )

Policy contract number

809868

Policy instance

Insurance contract or identification number	809868
Number of Individuals Covered	26
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Are there contracts with allocated funds for individual policies?	0
Are there contracts with allocated funds for group deferred annuity?	Yes
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	1
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?	No
Health Insurance Welfare Benefit	No
Dental Insurance Welfare Benefit	No
Vision Insurance Welfare Benefit	No
Life Insurance Welfare Benefit	No
Temporary Disability Insurance Welfare Benefit	No
Long Term Disability Insurance Welfare Benefit	No
Unemployment Insurance Welfare Benefit	No
Were dividends or retroactive rate refunds paid in cash?	No
Were dividends or retroactive rate refunds paid as a credit?	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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Company Name:	SMALL WORLD TRADING COMPANY
Employer identification number (EIN):	943146184
NAIC Classification:	446190