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ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 401k Plan overview

Plan NameASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN
Plan identification number 001

ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN Benefits

401k Plan TypeDefined 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.
  • Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
  • 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

ASSERTIO MANAGEMENT, LLC has sponsored the creation of one or more 401k plans.

Company Name:ASSERTIO MANAGEMENT, LLC
Employer identification number (EIN):943229046
NAIC Classification:325410

Form 5500 Filing Information

Submission information for form 5500 for 401k plan ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator SignedName of Company SponsorDate Sponsor Signed
0012022-01-01
0012021-01-01
0012020-01-01
0012020-01-01
0012019-01-01
0012018-01-01AYSE GUCELI AYSE GUCELI2019-07-22
0012017-01-01AYSE GUCELI AYSE GUCELI2018-10-13
0012016-01-01FRANK ZAMPELLA FRANK ZAMPELLA2017-08-17
0012015-01-01FRANK ZAMPELLA FRANK ZAMPELLA2016-10-10
0012014-01-01JEFF COON JEFF COON2015-10-09
0012013-01-01JEFFREY COON JEFFREY COON2014-10-09
0012012-01-01JEFFREY COON JEFFREY COON2013-10-11
0012011-01-01KRISTEN HICKMAN2012-06-20 KRISTEN HICKMAN2012-06-20
0012010-01-01KERA ALEXANDER2011-07-08 KERA ALEXANDER2011-07-08

Plan Statistics for ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN

401k plan membership statisitcs for ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN

Measure Date Value
2022: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2022 401k membership
Total participants, beginning-of-year2022-01-01265
Total number of active participants reported on line 7a of the Form 55002022-01-0129
Number of retired or separated participants receiving benefits2022-01-010
Number of other retired or separated participants entitled to future benefits2022-01-01221
Total of all active and inactive participants2022-01-01250
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2022-01-010
Total participants2022-01-01250
Number of participants with account balances2022-01-01246
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2022-01-010
2021: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2021 401k membership
Total participants, beginning-of-year2021-01-01344
Total number of active participants reported on line 7a of the Form 55002021-01-0121
Number of retired or separated participants receiving benefits2021-01-010
Number of other retired or separated participants entitled to future benefits2021-01-01242
Total of all active and inactive participants2021-01-01263
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2021-01-010
Total participants2021-01-01263
Number of participants with account balances2021-01-01260
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2021-01-011
2020: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2020 401k membership
Total participants, beginning-of-year2020-01-01346
Total number of active participants reported on line 7a of the Form 55002020-01-01123
Number of retired or separated participants receiving benefits2020-01-010
Number of other retired or separated participants entitled to future benefits2020-01-01221
Total of all active and inactive participants2020-01-01344
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2020-01-010
Total participants2020-01-01344
Number of participants with account balances2020-01-01343
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2020-01-0120
2019: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2019 401k membership
Total participants, beginning-of-year2019-01-01360
Total number of active participants reported on line 7a of the Form 55002019-01-01109
Number of retired or separated participants receiving benefits2019-01-010
Number of other retired or separated participants entitled to future benefits2019-01-01211
Total of all active and inactive participants2019-01-01320
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2019-01-010
Total participants2019-01-01320
Number of participants with account balances2019-01-01319
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2019-01-0118
2018: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2018 401k membership
Total participants, beginning-of-year2018-01-01575
Total number of active participants reported on line 7a of the Form 55002018-01-01119
Number of retired or separated participants receiving benefits2018-01-010
Number of other retired or separated participants entitled to future benefits2018-01-01241
Total of all active and inactive participants2018-01-01360
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2018-01-011
Total participants2018-01-01361
Number of participants with account balances2018-01-01354
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2018-01-0112
2017: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2017 401k membership
Total participants, beginning-of-year2017-01-01559
Total number of active participants reported on line 7a of the Form 55002017-01-01437
Number of retired or separated participants receiving benefits2017-01-010
Number of other retired or separated participants entitled to future benefits2017-01-01138
Total of all active and inactive participants2017-01-01575
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2017-01-010
Total participants2017-01-01575
Number of participants with account balances2017-01-01567
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2017-01-0144
2016: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2016 401k membership
Total participants, beginning-of-year2016-01-01524
Total number of active participants reported on line 7a of the Form 55002016-01-01491
Number of retired or separated participants receiving benefits2016-01-010
Number of other retired or separated participants entitled to future benefits2016-01-0174
Total of all active and inactive participants2016-01-01565
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2016-01-010
Total participants2016-01-01565
Number of participants with account balances2016-01-01516
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2016-01-0114
2015: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2015 401k membership
Total participants, beginning-of-year2015-01-01360
Total number of active participants reported on line 7a of the Form 55002015-01-01478
Number of retired or separated participants receiving benefits2015-01-010
Number of other retired or separated participants entitled to future benefits2015-01-0150
Total of all active and inactive participants2015-01-01528
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2015-01-010
Total participants2015-01-01528
Number of participants with account balances2015-01-01467
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2015-01-0110
2014: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year2014-01-01317
Total number of active participants reported on line 7a of the Form 55002014-01-01328
Number of retired or separated participants receiving benefits2014-01-010
Number of other retired or separated participants entitled to future benefits2014-01-0135
Total of all active and inactive participants2014-01-01363
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2014-01-010
Total participants2014-01-01363
Number of participants with account balances2014-01-01288
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2014-01-0122
2013: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year2013-01-01279
Total number of active participants reported on line 7a of the Form 55002013-01-01304
Number of retired or separated participants receiving benefits2013-01-010
Number of other retired or separated participants entitled to future benefits2013-01-0122
Total of all active and inactive participants2013-01-01326
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2013-01-010
Total participants2013-01-01326
Number of participants with account balances2013-01-01241
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2013-01-010
2012: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2012 401k membership
Total participants, beginning-of-year2012-01-01126
Total number of active participants reported on line 7a of the Form 55002012-01-01271
Number of retired or separated participants receiving benefits2012-01-010
Number of other retired or separated participants entitled to future benefits2012-01-0119
Total of all active and inactive participants2012-01-01290
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits2012-01-010
Total participants2012-01-01290
Number of participants with account balances2012-01-01130
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested2012-01-018

Financial Data on ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN

Measure Date Value
2022 : ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets2022-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2022-12-31$0
Total income from all sources (including contributions)2022-12-31$-2,380,634
Total loss/gain on sale of assets2022-12-31$0
Total of all expenses incurred2022-12-31$730,833
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2022-12-31$667,600
Total contributions o plan (from employers,participants, others, non cash contrinutions)2022-12-31$665,173
Value of total assets at end of year2022-12-31$14,819,953
Value of total assets at beginning of year2022-12-31$17,931,420
Total of administrative expenses incurred including professional, contract, advisory and management fees2022-12-31$63,233
Total interest from all sources2022-12-31$707
Total dividends received (eg from common stock, registered investment company shares)2022-12-31$220,659
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2022-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2022-12-31$220,659
Was this plan covered by a fidelity bond2022-12-31Yes
Value of fidelity bond cover2022-12-31$1,000,000
If this is an individual account plan, was there a blackout period2022-12-31No
Were there any nonexempt tranactions with any party-in-interest2022-12-31No
Contributions received from participants2022-12-31$353,140
Participant contributions at end of year2022-12-31$19,368
Participant contributions at beginning of year2022-12-31$15,999
Income. Received or receivable in cash from other sources (including rollovers)2022-12-31$130,740
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2022-12-31$236
Other income not declared elsewhere2022-12-31$28
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Value of net income/loss2022-12-31$-3,111,467
Value of net assets at end of year (total assets less liabilities)2022-12-31$14,819,953
Value of net assets at beginning of year (total assets less liabilities)2022-12-31$17,931,420
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2022-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2022-12-31No
Were any leases to which the plan was party in default or uncollectible2022-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2022-12-31$13,640,405
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2022-12-31$17,127,545
Interest on participant loans2022-12-31$707
Value of interest in common/collective trusts at end of year2022-12-31$1,160,180
Value of interest in common/collective trusts at beginning of year2022-12-31$787,876
Net investment gain/loss from registered investment companies (e.g. mutual funds)2022-12-31$-3,285,368
Net investment gain or loss from common/collective trusts2022-12-31$18,167
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2022-12-31No
Was there a failure to transmit to the plan any participant contributions2022-12-31Yes
Has the plan failed to provide any benefit when due under the plan2022-12-31No
Contributions received in cash from employer2022-12-31$181,293
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2022-12-31$667,364
Contract administrator fees2022-12-31$63,233
Did the plan have assets held for investment2022-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2022-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2022-12-31No
Opinion of an independent qualified public accountant for this plan2022-12-31Unqualified
Accountancy firm name2022-12-31FORVIS LLP
Accountancy firm EIN2022-12-31440160260
2021 : ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets2021-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2021-12-31$0
Total income from all sources (including contributions)2021-12-31$3,233,220
Total loss/gain on sale of assets2021-12-31$0
Total of all expenses incurred2021-12-31$6,816,494
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2021-12-31$6,732,648
Total contributions o plan (from employers,participants, others, non cash contrinutions)2021-12-31$620,391
Value of total assets at end of year2021-12-31$17,931,420
Value of total assets at beginning of year2021-12-31$21,514,694
Total of administrative expenses incurred including professional, contract, advisory and management fees2021-12-31$83,846
Total interest from all sources2021-12-31$637
Total dividends received (eg from common stock, registered investment company shares)2021-12-31$204,436
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2021-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2021-12-31$204,436
Was this plan covered by a fidelity bond2021-12-31Yes
Value of fidelity bond cover2021-12-31$1,000,000
If this is an individual account plan, was there a blackout period2021-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2021-12-31$0
Were there any nonexempt tranactions with any party-in-interest2021-12-31No
Contributions received from participants2021-12-31$438,184
Participant contributions at end of year2021-12-31$15,999
Participant contributions at beginning of year2021-12-31$80,712
Participant contributions at beginning of year2021-12-31$36,406
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Value of net income/loss2021-12-31$-3,583,274
Value of net assets at end of year (total assets less liabilities)2021-12-31$17,931,420
Value of net assets at beginning of year (total assets less liabilities)2021-12-31$21,514,694
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2021-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2021-12-31No
Were any leases to which the plan was party in default or uncollectible2021-12-31No
Value of interest in registered invesment companies (eg mutual funds) at end of year2021-12-31$17,127,545
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2021-12-31$19,653,114
Interest on participant loans2021-12-31$637
Value of interest in common/collective trusts at end of year2021-12-31$787,876
Value of interest in common/collective trusts at beginning of year2021-12-31$1,524,685
Net investment gain/loss from registered investment companies (e.g. mutual funds)2021-12-31$2,386,492
Net investment gain or loss from common/collective trusts2021-12-31$21,264
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2021-12-31No
Was there a failure to transmit to the plan any participant contributions2021-12-31Yes
Has the plan failed to provide any benefit when due under the plan2021-12-31No
Contributions received in cash from employer2021-12-31$182,207
Employer contributions (assets) at beginning of year2021-12-31$219,777
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2021-12-31$6,732,648
Contract administrator fees2021-12-31$83,846
Did the plan have assets held for investment2021-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2021-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2021-12-31No
Opinion of an independent qualified public accountant for this plan2021-12-31Unqualified
Accountancy firm name2021-12-31FORVIS, LLP
Accountancy firm EIN2021-12-31440160260
2020 : ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2020 401k financial data
Unrealized appreciation/depreciation of real estate assets2020-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2020-12-31$0
Total unrealized appreciation/depreciation of assets2020-12-31$0
Total transfer of assets to this plan2020-12-31$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$6,611,452
Total loss/gain on sale of assets2020-12-31$0
Total of all expenses incurred2020-12-31$4,886,859
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2020-12-31$4,797,815
Expenses. Certain deemed distributions of participant loans2020-12-31$0
Value of total corrective distributions2020-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2020-12-31$3,698,379
Value of total assets at end of year2020-12-31$21,514,694
Value of total assets at beginning of year2020-12-31$19,790,101
Total of administrative expenses incurred including professional, contract, advisory and management fees2020-12-31$89,044
Total income from rents2020-12-31$0
Total interest from all sources2020-12-31$4,022
Total dividends received (eg from common stock, registered investment company shares)2020-12-31$257,175
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2020-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2020-12-31$257,175
Administrative expenses professional fees incurred2020-12-31$0
Was this plan covered by a fidelity bond2020-12-31Yes
Value of fidelity bond cover2020-12-31$1,000,000
If this is an individual account plan, was there a blackout period2020-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2020-12-31$0
Were there any nonexempt tranactions with any party-in-interest2020-12-31No
Amount of non-exempt transactions with any party-in-interest2020-12-31$0
Contributions received from participants2020-12-31$1,389,972
Participant contributions at end of year2020-12-31$80,712
Participant contributions at beginning of year2020-12-31$54,438
Participant contributions at end of year2020-12-31$36,406
Participant contributions at beginning of year2020-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2020-12-31$1,949,981
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2020-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2020-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2020-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2020-12-31$0
Other income not declared elsewhere2020-12-31$0
Administrative expenses (other) incurred2020-12-31$0
Liabilities. Value of operating payables at beginning of year2020-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Value of net income/loss2020-12-31$1,724,593
Value of net assets at end of year (total assets less liabilities)2020-12-31$21,514,694
Value of net assets at beginning of year (total assets less liabilities)2020-12-31$19,790,101
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2020-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2020-12-31No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2020-12-31$0
Were any leases to which the plan was party in default or uncollectible2020-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2020-12-31$0
Investment advisory and management fees2020-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2020-12-31$19,653,114
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2020-12-31$17,843,066
Interest on participant loans2020-12-31$4,022
Income. Interest from loans (other than to participants)2020-12-31$0
Interest earned on other investments2020-12-31$0
Income. Interest from US Government securities2020-12-31$0
Income. Interest from corporate debt instruments2020-12-31$0
Value of interest in common/collective trusts at end of year2020-12-31$1,524,685
Value of interest in common/collective trusts at beginning of year2020-12-31$1,512,710
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2020-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2020-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2020-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2020-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2020-12-31$2,641,015
Net investment gain/loss from pooled separate accounts2020-12-31$0
Net investment gain or loss from common/collective trusts2020-12-31$10,861
Net gain/loss from 103.12 investment entities2020-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2020-12-31No
Was there a failure to transmit to the plan any participant contributions2020-12-31Yes
Has the plan failed to provide any benefit when due under the plan2020-12-31No
Contributions received in cash from employer2020-12-31$358,426
Employer contributions (assets) at end of year2020-12-31$219,777
Employer contributions (assets) at beginning of year2020-12-31$379,887
Income. Dividends from preferred stock2020-12-31$0
Income. Dividends from common stock2020-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2020-12-31$4,797,815
Contract administrator fees2020-12-31$89,044
Liabilities. Value of benefit claims payable at beginning of year2020-12-31$0
Did the plan have assets held for investment2020-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2020-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2020-12-31No
Aggregate proceeds on sale of assets2020-12-31$0
Aggregate carrying amount (costs) on sale of assets2020-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2020-12-31$0
Opinion of an independent qualified public accountant for this plan2020-12-31Unqualified
Accountancy firm name2020-12-31BKD, LLP
Accountancy firm EIN2020-12-31440160260
2019 : ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2019 401k financial data
Unrealized appreciation/depreciation of real estate assets2019-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2019-12-31$0
Total unrealized appreciation/depreciation of assets2019-12-31$0
Total transfer of assets to this plan2019-12-31$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$6,182,205
Total loss/gain on sale of assets2019-12-31$0
Total of all expenses incurred2019-12-31$3,666,719
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2019-12-31$3,571,689
Expenses. Certain deemed distributions of participant loans2019-12-31$0
Value of total corrective distributions2019-12-31$8,080
Total contributions o plan (from employers,participants, others, non cash contrinutions)2019-12-31$2,245,968
Value of total assets at end of year2019-12-31$19,790,101
Value of total assets at beginning of year2019-12-31$17,274,615
Total of administrative expenses incurred including professional, contract, advisory and management fees2019-12-31$86,950
Total income from rents2019-12-31$0
Total interest from all sources2019-12-31$1,495
Total dividends received (eg from common stock, registered investment company shares)2019-12-31$245,220
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2019-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2019-12-31$245,220
Administrative expenses professional fees incurred2019-12-31$0
Was this plan covered by a fidelity bond2019-12-31Yes
Value of fidelity bond cover2019-12-31$1,000,000
If this is an individual account plan, was there a blackout period2019-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2019-12-31$0
Were there any nonexempt tranactions with any party-in-interest2019-12-31No
Amount of non-exempt transactions with any party-in-interest2019-12-31$0
Contributions received from participants2019-12-31$1,432,070
Participant contributions at end of year2019-12-31$54,438
Participant contributions at beginning of year2019-12-31$12,206
Participant contributions at end of year2019-12-31$0
Participant contributions at beginning of year2019-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2019-12-31$434,011
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2019-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2019-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2019-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2019-12-31$0
Other income not declared elsewhere2019-12-31$0
Administrative expenses (other) incurred2019-12-31$0
Liabilities. Value of operating payables at beginning of year2019-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Value of net income/loss2019-12-31$2,515,486
Value of net assets at end of year (total assets less liabilities)2019-12-31$19,790,101
Value of net assets at beginning of year (total assets less liabilities)2019-12-31$17,274,615
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2019-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2019-12-31No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2019-12-31$0
Were any leases to which the plan was party in default or uncollectible2019-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2019-12-31$0
Investment advisory and management fees2019-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2019-12-31$17,843,066
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2019-12-31$1,210,102
Value of interest in pooled separate accounts at end of year2019-12-31$0
Value of interest in pooled separate accounts at beginning of year2019-12-31$14,467,787
Interest on participant loans2019-12-31$1,495
Income. Interest from loans (other than to participants)2019-12-31$0
Interest earned on other investments2019-12-31$0
Income. Interest from US Government securities2019-12-31$0
Income. Interest from corporate debt instruments2019-12-31$0
Value of interest in common/collective trusts at end of year2019-12-31$1,512,710
Value of interest in common/collective trusts at beginning of year2019-12-31$1,343,189
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2019-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2019-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2019-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2019-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2019-12-31$3,845,849
Net investment gain/loss from pooled separate accounts2019-12-31$-229,078
Net investment gain or loss from common/collective trusts2019-12-31$72,751
Net gain/loss from 103.12 investment entities2019-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2019-12-31No
Was there a failure to transmit to the plan any participant contributions2019-12-31No
Has the plan failed to provide any benefit when due under the plan2019-12-31No
Contributions received in cash from employer2019-12-31$379,887
Employer contributions (assets) at end of year2019-12-31$379,887
Employer contributions (assets) at beginning of year2019-12-31$241,331
Income. Dividends from preferred stock2019-12-31$0
Income. Dividends from common stock2019-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2019-12-31$3,571,689
Contract administrator fees2019-12-31$86,950
Liabilities. Value of benefit claims payable at beginning of year2019-12-31$0
Did the plan have assets held for investment2019-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2019-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2019-12-31No
Aggregate proceeds on sale of assets2019-12-31$0
Aggregate carrying amount (costs) on sale of assets2019-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2019-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2019-12-31Yes
Opinion of an independent qualified public accountant for this plan2019-12-31Disclaimer
Accountancy firm name2019-12-31BKD LLP
Accountancy firm EIN2019-12-31440160260
2018 : ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2018 401k financial data
Unrealized appreciation/depreciation of real estate assets2018-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2018-12-31$0
Total unrealized appreciation/depreciation of assets2018-12-31$0
Total transfer of assets to this plan2018-12-31$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$1,895,739
Total loss/gain on sale of assets2018-12-31$0
Total of all expenses incurred2018-12-31$12,235,086
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2018-12-31$12,219,816
Expenses. Certain deemed distributions of participant loans2018-12-31$0
Value of total corrective distributions2018-12-31$987
Total contributions o plan (from employers,participants, others, non cash contrinutions)2018-12-31$2,885,997
Value of total assets at end of year2018-12-31$17,274,615
Value of total assets at beginning of year2018-12-31$27,613,962
Total of administrative expenses incurred including professional, contract, advisory and management fees2018-12-31$14,283
Total income from rents2018-12-31$0
Total interest from all sources2018-12-31$7,083
Total dividends received (eg from common stock, registered investment company shares)2018-12-31$19,005
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2018-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2018-12-31$19,005
Administrative expenses professional fees incurred2018-12-31$0
Was this plan covered by a fidelity bond2018-12-31Yes
Value of fidelity bond cover2018-12-31$1,000,000
If this is an individual account plan, was there a blackout period2018-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2018-12-31$0
Were there any nonexempt tranactions with any party-in-interest2018-12-31No
Amount of non-exempt transactions with any party-in-interest2018-12-31$0
Contributions received from participants2018-12-31$2,260,239
Participant contributions at end of year2018-12-31$12,206
Participant contributions at beginning of year2018-12-31$324,562
Participant contributions at end of year2018-12-31$0
Participant contributions at beginning of year2018-12-31$52
Income. Received or receivable in cash from other sources (including rollovers)2018-12-31$384,427
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2018-12-31$279
Value of other receiveables (less allowance for doubtful accounts) at end of year2018-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2018-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2018-12-31$0
Other income not declared elsewhere2018-12-31$0
Administrative expenses (other) incurred2018-12-31$0
Liabilities. Value of operating payables at beginning of year2018-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Value of net income/loss2018-12-31$-10,339,347
Value of net assets at end of year (total assets less liabilities)2018-12-31$17,274,615
Value of net assets at beginning of year (total assets less liabilities)2018-12-31$27,613,962
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2018-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2018-12-31No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2018-12-31$0
Were any leases to which the plan was party in default or uncollectible2018-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2018-12-31$0
Investment advisory and management fees2018-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2018-12-31$1,210,102
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2018-12-31$1,811,652
Value of interest in pooled separate accounts at end of year2018-12-31$14,467,787
Value of interest in pooled separate accounts at beginning of year2018-12-31$23,519,862
Interest on participant loans2018-12-31$7,083
Income. Interest from loans (other than to participants)2018-12-31$0
Interest earned on other investments2018-12-31$0
Income. Interest from US Government securities2018-12-31$0
Income. Interest from corporate debt instruments2018-12-31$0
Value of interest in common/collective trusts at end of year2018-12-31$1,343,189
Value of interest in common/collective trusts at beginning of year2018-12-31$1,182,114
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2018-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2018-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2018-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2018-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2018-12-31$-155,646
Net investment gain/loss from pooled separate accounts2018-12-31$-870,184
Net investment gain or loss from common/collective trusts2018-12-31$9,484
Net gain/loss from 103.12 investment entities2018-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2018-12-31No
Was there a failure to transmit to the plan any participant contributions2018-12-31Yes
Has the plan failed to provide any benefit when due under the plan2018-12-31No
Contributions received in cash from employer2018-12-31$241,331
Employer contributions (assets) at end of year2018-12-31$241,331
Employer contributions (assets) at beginning of year2018-12-31$775,720
Income. Dividends from preferred stock2018-12-31$0
Income. Dividends from common stock2018-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2018-12-31$12,219,537
Contract administrator fees2018-12-31$14,283
Liabilities. Value of benefit claims payable at beginning of year2018-12-31$0
Did the plan have assets held for investment2018-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2018-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2018-12-31No
Aggregate proceeds on sale of assets2018-12-31$0
Aggregate carrying amount (costs) on sale of assets2018-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2018-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2018-12-31Yes
Opinion of an independent qualified public accountant for this plan2018-12-31Disclaimer
Accountancy firm name2018-12-31BKD LLP
Accountancy firm EIN2018-12-31440160260
2017 : ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets2017-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2017-12-31$0
Total unrealized appreciation/depreciation of assets2017-12-31$0
Total transfer of assets to this plan2017-12-31$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$10,743,941
Total loss/gain on sale of assets2017-12-31$0
Total of all expenses incurred2017-12-31$4,627,241
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2017-12-31$4,618,315
Expenses. Certain deemed distributions of participant loans2017-12-31$0
Value of total corrective distributions2017-12-31$432
Total contributions o plan (from employers,participants, others, non cash contrinutions)2017-12-31$6,790,396
Value of total assets at end of year2017-12-31$27,613,962
Value of total assets at beginning of year2017-12-31$21,497,262
Total of administrative expenses incurred including professional, contract, advisory and management fees2017-12-31$8,494
Total income from rents2017-12-31$0
Total interest from all sources2017-12-31$10,868
Total dividends received (eg from common stock, registered investment company shares)2017-12-31$30,122
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2017-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2017-12-31$30,122
Administrative expenses professional fees incurred2017-12-31$0
Was this plan covered by a fidelity bond2017-12-31Yes
Value of fidelity bond cover2017-12-31$1,000,000
If this is an individual account plan, was there a blackout period2017-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2017-12-31$0
Were there any nonexempt tranactions with any party-in-interest2017-12-31No
Amount of non-exempt transactions with any party-in-interest2017-12-31$0
Contributions received from participants2017-12-31$4,179,017
Participant contributions at end of year2017-12-31$324,562
Participant contributions at beginning of year2017-12-31$319,927
Participant contributions at end of year2017-12-31$52
Participant contributions at beginning of year2017-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2017-12-31$1,835,659
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2017-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2017-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2017-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2017-12-31$0
Other income not declared elsewhere2017-12-31$0
Administrative expenses (other) incurred2017-12-31$0
Liabilities. Value of operating payables at beginning of year2017-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Value of net income/loss2017-12-31$6,116,700
Value of net assets at end of year (total assets less liabilities)2017-12-31$27,613,962
Value of net assets at beginning of year (total assets less liabilities)2017-12-31$21,497,262
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2017-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2017-12-31No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2017-12-31$0
Were any leases to which the plan was party in default or uncollectible2017-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2017-12-31$0
Investment advisory and management fees2017-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2017-12-31$1,811,652
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2017-12-31$1,269,835
Value of interest in pooled separate accounts at end of year2017-12-31$23,519,862
Value of interest in pooled separate accounts at beginning of year2017-12-31$17,659,975
Interest on participant loans2017-12-31$10,868
Income. Interest from loans (other than to participants)2017-12-31$0
Interest earned on other investments2017-12-31$0
Income. Interest from US Government securities2017-12-31$0
Income. Interest from corporate debt instruments2017-12-31$0
Value of interest in common/collective trusts at end of year2017-12-31$1,182,114
Value of interest in common/collective trusts at beginning of year2017-12-31$1,354,913
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2017-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2017-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2017-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2017-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2017-12-31$305,666
Net investment gain/loss from pooled separate accounts2017-12-31$3,592,529
Net investment gain or loss from common/collective trusts2017-12-31$14,360
Net gain/loss from 103.12 investment entities2017-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2017-12-31No
Was there a failure to transmit to the plan any participant contributions2017-12-31No
Has the plan failed to provide any benefit when due under the plan2017-12-31No
Contributions received in cash from employer2017-12-31$775,720
Employer contributions (assets) at end of year2017-12-31$775,720
Employer contributions (assets) at beginning of year2017-12-31$892,612
Income. Dividends from preferred stock2017-12-31$0
Income. Dividends from common stock2017-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2017-12-31$4,618,315
Contract administrator fees2017-12-31$8,494
Liabilities. Value of benefit claims payable at beginning of year2017-12-31$0
Did the plan have assets held for investment2017-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2017-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2017-12-31No
Aggregate proceeds on sale of assets2017-12-31$0
Aggregate carrying amount (costs) on sale of assets2017-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2017-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2017-12-31Yes
Opinion of an independent qualified public accountant for this plan2017-12-31Disclaimer
Accountancy firm name2017-12-31MOSS ADAMS LLP
Accountancy firm EIN2017-12-31910189318
2016 : ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets2016-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2016-12-31$0
Total unrealized appreciation/depreciation of assets2016-12-31$0
Total transfer of assets to this plan2016-12-31$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$7,980,138
Total loss/gain on sale of assets2016-12-31$0
Total of all expenses incurred2016-12-31$2,050,221
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2016-12-31$2,026,412
Expenses. Certain deemed distributions of participant loans2016-12-31$0
Value of total corrective distributions2016-12-31$16,677
Total contributions o plan (from employers,participants, others, non cash contrinutions)2016-12-31$6,556,456
Value of total assets at end of year2016-12-31$21,497,262
Value of total assets at beginning of year2016-12-31$15,567,345
Total of administrative expenses incurred including professional, contract, advisory and management fees2016-12-31$7,132
Total income from rents2016-12-31$0
Total interest from all sources2016-12-31$10,392
Total dividends received (eg from common stock, registered investment company shares)2016-12-31$15,292
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2016-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2016-12-31$15,292
Administrative expenses professional fees incurred2016-12-31$0
Was this plan covered by a fidelity bond2016-12-31Yes
Value of fidelity bond cover2016-12-31$1,000,000
If this is an individual account plan, was there a blackout period2016-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2016-12-31$0
Were there any nonexempt tranactions with any party-in-interest2016-12-31No
Amount of non-exempt transactions with any party-in-interest2016-12-31$0
Contributions received from participants2016-12-31$4,105,702
Participant contributions at end of year2016-12-31$319,927
Participant contributions at beginning of year2016-12-31$248,886
Participant contributions at end of year2016-12-31$0
Participant contributions at beginning of year2016-12-31$220
Income. Received or receivable in cash from other sources (including rollovers)2016-12-31$1,558,142
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2016-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2016-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2016-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2016-12-31$0
Other income not declared elsewhere2016-12-31$30
Administrative expenses (other) incurred2016-12-31$0
Liabilities. Value of operating payables at beginning of year2016-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Value of net income/loss2016-12-31$5,929,917
Value of net assets at end of year (total assets less liabilities)2016-12-31$21,497,262
Value of net assets at beginning of year (total assets less liabilities)2016-12-31$15,567,345
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2016-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2016-12-31No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2016-12-31$0
Were any leases to which the plan was party in default or uncollectible2016-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2016-12-31$0
Investment advisory and management fees2016-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2016-12-31$1,269,835
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2016-12-31$926,392
Value of interest in pooled separate accounts at end of year2016-12-31$17,659,975
Value of interest in pooled separate accounts at beginning of year2016-12-31$12,393,622
Interest on participant loans2016-12-31$10,392
Income. Interest from loans (other than to participants)2016-12-31$0
Interest earned on other investments2016-12-31$0
Income. Interest from US Government securities2016-12-31$0
Income. Interest from corporate debt instruments2016-12-31$0
Value of interest in common/collective trusts at end of year2016-12-31$1,354,913
Value of interest in common/collective trusts at beginning of year2016-12-31$1,272,389
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2016-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2016-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2016-12-31$0
Expenses. Payments to insurance carriers foe the provision of benefits2016-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2016-12-31$118,185
Net investment gain/loss from pooled separate accounts2016-12-31$1,267,810
Net investment gain or loss from common/collective trusts2016-12-31$11,973
Net gain/loss from 103.12 investment entities2016-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2016-12-31No
Was there a failure to transmit to the plan any participant contributions2016-12-31Yes
Has the plan failed to provide any benefit when due under the plan2016-12-31No
Contributions received in cash from employer2016-12-31$892,612
Employer contributions (assets) at end of year2016-12-31$892,612
Employer contributions (assets) at beginning of year2016-12-31$725,836
Income. Dividends from preferred stock2016-12-31$0
Income. Dividends from common stock2016-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2016-12-31$2,026,412
Contract administrator fees2016-12-31$7,132
Liabilities. Value of benefit claims payable at beginning of year2016-12-31$0
Did the plan have assets held for investment2016-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2016-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2016-12-31No
Aggregate proceeds on sale of assets2016-12-31$0
Aggregate carrying amount (costs) on sale of assets2016-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2016-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2016-12-31Yes
Opinion of an independent qualified public accountant for this plan2016-12-31Disclaimer
Accountancy firm name2016-12-31MOSS-ADAMS LLP
Accountancy firm EIN2016-12-31910189318
2015 : ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets2015-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2015-12-31$0
Total unrealized appreciation/depreciation of assets2015-12-31$0
Total transfer of assets to this plan2015-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2015-12-31$0
Total income from all sources (including contributions)2015-12-31$5,127,988
Total loss/gain on sale of assets2015-12-31$0
Total of all expenses incurred2015-12-31$1,255,337
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2015-12-31$1,248,961
Expenses. Certain deemed distributions of participant loans2015-12-31$0
Value of total corrective distributions2015-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2015-12-31$5,184,377
Value of total assets at end of year2015-12-31$15,567,345
Value of total assets at beginning of year2015-12-31$11,694,694
Total of administrative expenses incurred including professional, contract, advisory and management fees2015-12-31$6,376
Total income from rents2015-12-31$0
Total interest from all sources2015-12-31$4,100
Total dividends received (eg from common stock, registered investment company shares)2015-12-31$8,932
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2015-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2015-12-31$8,932
Administrative expenses professional fees incurred2015-12-31$0
Was this plan covered by a fidelity bond2015-12-31Yes
Value of fidelity bond cover2015-12-31$1,000,000
If this is an individual account plan, was there a blackout period2015-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2015-12-31$0
Were there any nonexempt tranactions with any party-in-interest2015-12-31No
Amount of non-exempt transactions with any party-in-interest2015-12-31$0
Contributions received from participants2015-12-31$3,377,404
Participant contributions at end of year2015-12-31$248,886
Participant contributions at beginning of year2015-12-31$89,387
Participant contributions at end of year2015-12-31$220
Participant contributions at beginning of year2015-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2015-12-31$1,080,783
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2015-12-31$627
Value of other receiveables (less allowance for doubtful accounts) at end of year2015-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2015-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2015-12-31$0
Other income not declared elsewhere2015-12-31$0
Administrative expenses (other) incurred2015-12-31$0
Liabilities. Value of operating payables at beginning of year2015-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Value of net income/loss2015-12-31$3,872,651
Value of net assets at end of year (total assets less liabilities)2015-12-31$15,567,345
Value of net assets at beginning of year (total assets less liabilities)2015-12-31$11,694,694
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2015-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2015-12-31No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2015-12-31$0
Were any leases to which the plan was party in default or uncollectible2015-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2015-12-31$0
Investment advisory and management fees2015-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2015-12-31$926,392
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2015-12-31$464,725
Value of interest in pooled separate accounts at end of year2015-12-31$12,393,622
Value of interest in pooled separate accounts at beginning of year2015-12-31$9,474,824
Interest on participant loans2015-12-31$4,100
Income. Interest from loans (other than to participants)2015-12-31$0
Interest earned on other investments2015-12-31$0
Income. Interest from US Government securities2015-12-31$0
Income. Interest from corporate debt instruments2015-12-31$0
Value of interest in common/collective trusts at end of year2015-12-31$1,272,389
Value of interest in common/collective trusts at beginning of year2015-12-31$1,190,578
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2015-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2015-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2015-12-31$1,935
Expenses. Payments to insurance carriers foe the provision of benefits2015-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2015-12-31$-74,128
Net investment gain/loss from pooled separate accounts2015-12-31$2,378
Net investment gain or loss from common/collective trusts2015-12-31$2,329
Net gain/loss from 103.12 investment entities2015-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2015-12-31No
Was there a failure to transmit to the plan any participant contributions2015-12-31Yes
Has the plan failed to provide any benefit when due under the plan2015-12-31No
Contributions received in cash from employer2015-12-31$726,190
Employer contributions (assets) at end of year2015-12-31$725,836
Employer contributions (assets) at beginning of year2015-12-31$473,245
Income. Dividends from preferred stock2015-12-31$0
Income. Dividends from common stock2015-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2015-12-31$1,248,334
Contract administrator fees2015-12-31$6,376
Liabilities. Value of benefit claims payable at beginning of year2015-12-31$0
Did the plan have assets held for investment2015-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2015-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2015-12-31No
Aggregate proceeds on sale of assets2015-12-31$0
Aggregate carrying amount (costs) on sale of assets2015-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2015-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2015-12-31Yes
Opinion of an independent qualified public accountant for this plan2015-12-31Disclaimer
Accountancy firm name2015-12-31MOSS-ADAMS LLP
Accountancy firm EIN2015-12-31910189318
2014 : ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets2014-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2014-12-31$0
Total unrealized appreciation/depreciation of assets2014-12-31$0
Total transfer of assets to this plan2014-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2014-12-31$0
Total income from all sources (including contributions)2014-12-31$4,039,575
Total loss/gain on sale of assets2014-12-31$0
Total of all expenses incurred2014-12-31$2,076,529
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2014-12-31$2,072,177
Expenses. Certain deemed distributions of participant loans2014-12-31$0
Value of total corrective distributions2014-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2014-12-31$3,247,591
Value of total assets at end of year2014-12-31$11,694,694
Value of total assets at beginning of year2014-12-31$9,731,648
Total of administrative expenses incurred including professional, contract, advisory and management fees2014-12-31$4,352
Total income from rents2014-12-31$0
Total interest from all sources2014-12-31$3,333
Total dividends received (eg from common stock, registered investment company shares)2014-12-31$5,211
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2014-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2014-12-31$5,211
Administrative expenses professional fees incurred2014-12-31$0
Was this plan covered by a fidelity bond2014-12-31Yes
Value of fidelity bond cover2014-12-31$1,000,000
If this is an individual account plan, was there a blackout period2014-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2014-12-31$0
Were there any nonexempt tranactions with any party-in-interest2014-12-31No
Amount of non-exempt transactions with any party-in-interest2014-12-31$0
Contributions received from participants2014-12-31$2,417,802
Participant contributions at end of year2014-12-31$89,387
Participant contributions at beginning of year2014-12-31$134,196
Participant contributions at end of year2014-12-31$0
Participant contributions at beginning of year2014-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2014-12-31$356,544
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2014-12-31$10,243
Value of other receiveables (less allowance for doubtful accounts) at end of year2014-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2014-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2014-12-31$0
Other income not declared elsewhere2014-12-31$0
Administrative expenses (other) incurred2014-12-31$0
Liabilities. Value of operating payables at beginning of year2014-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Value of net income/loss2014-12-31$1,963,046
Value of net assets at end of year (total assets less liabilities)2014-12-31$11,694,694
Value of net assets at beginning of year (total assets less liabilities)2014-12-31$9,731,648
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2014-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2014-12-31No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2014-12-31$0
Were any leases to which the plan was party in default or uncollectible2014-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2014-12-31$0
Investment advisory and management fees2014-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2014-12-31$464,725
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2014-12-31$265,800
Value of interest in pooled separate accounts at end of year2014-12-31$9,474,824
Value of interest in pooled separate accounts at beginning of year2014-12-31$8,244,814
Interest on participant loans2014-12-31$3,301
Income. Interest from loans (other than to participants)2014-12-31$0
Interest earned on other investments2014-12-31$32
Income. Interest from US Government securities2014-12-31$0
Income. Interest from corporate debt instruments2014-12-31$0
Value of interest in common/collective trusts at end of year2014-12-31$1,190,578
Value of interest in common/collective trusts at beginning of year2014-12-31$684,234
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2014-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2014-12-31$1,935
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2014-12-31$5,524
Expenses. Payments to insurance carriers foe the provision of benefits2014-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2014-12-31$16,862
Net investment gain/loss from pooled separate accounts2014-12-31$750,436
Net investment gain or loss from common/collective trusts2014-12-31$16,142
Net gain/loss from 103.12 investment entities2014-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2014-12-31No
Was there a failure to transmit to the plan any participant contributions2014-12-31No
Has the plan failed to provide any benefit when due under the plan2014-12-31No
Contributions received in cash from employer2014-12-31$473,245
Employer contributions (assets) at end of year2014-12-31$473,245
Employer contributions (assets) at beginning of year2014-12-31$397,080
Income. Dividends from preferred stock2014-12-31$0
Income. Dividends from common stock2014-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2014-12-31$2,061,934
Contract administrator fees2014-12-31$4,352
Liabilities. Value of benefit claims payable at beginning of year2014-12-31$0
Did the plan have assets held for investment2014-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2014-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2014-12-31No
Aggregate proceeds on sale of assets2014-12-31$0
Aggregate carrying amount (costs) on sale of assets2014-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2014-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2014-12-31Yes
Opinion of an independent qualified public accountant for this plan2014-12-31Disclaimer
Accountancy firm name2014-12-31MOSS ADAMS, LLP
Accountancy firm EIN2014-12-31910189318
2013 : ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets2013-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2013-12-31$0
Total unrealized appreciation/depreciation of assets2013-12-31$0
Total transfer of assets to this plan2013-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2013-12-31$0
Total income from all sources (including contributions)2013-12-31$4,046,165
Total loss/gain on sale of assets2013-12-31$0
Total of all expenses incurred2013-12-31$468,402
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2013-12-31$466,501
Expenses. Certain deemed distributions of participant loans2013-12-31$0
Value of total corrective distributions2013-12-31$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)2013-12-31$2,487,851
Value of total assets at end of year2013-12-31$9,731,648
Value of total assets at beginning of year2013-12-31$6,153,885
Total of administrative expenses incurred including professional, contract, advisory and management fees2013-12-31$1,901
Total income from rents2013-12-31$0
Total interest from all sources2013-12-31$3,258
Total dividends received (eg from common stock, registered investment company shares)2013-12-31$3,358
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2013-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2013-12-31$3,358
Administrative expenses professional fees incurred2013-12-31$0
Was this plan covered by a fidelity bond2013-12-31Yes
Value of fidelity bond cover2013-12-31$500,000
If this is an individual account plan, was there a blackout period2013-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2013-12-31$0
Were there any nonexempt tranactions with any party-in-interest2013-12-31No
Amount of non-exempt transactions with any party-in-interest2013-12-31$0
Contributions received from participants2013-12-31$1,839,412
Participant contributions at end of year2013-12-31$134,196
Participant contributions at beginning of year2013-12-31$90,455
Participant contributions at end of year2013-12-31$0
Participant contributions at beginning of year2013-12-31$0
Income. Received or receivable in cash from other sources (including rollovers)2013-12-31$251,359
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2013-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2013-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2013-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2013-12-31$0
Other income not declared elsewhere2013-12-31$131
Administrative expenses (other) incurred2013-12-31$0
Liabilities. Value of operating payables at beginning of year2013-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Value of net income/loss2013-12-31$3,577,763
Value of net assets at end of year (total assets less liabilities)2013-12-31$9,731,648
Value of net assets at beginning of year (total assets less liabilities)2013-12-31$6,153,885
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2013-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2013-12-31No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2013-12-31$0
Were any leases to which the plan was party in default or uncollectible2013-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2013-12-31$0
Investment advisory and management fees2013-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2013-12-31$265,800
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2013-12-31$298,181
Value of interest in pooled separate accounts at end of year2013-12-31$8,244,814
Value of interest in pooled separate accounts at beginning of year2013-12-31$5,406,387
Interest on participant loans2013-12-31$3,167
Income. Interest from loans (other than to participants)2013-12-31$0
Interest earned on other investments2013-12-31$91
Income. Interest from US Government securities2013-12-31$0
Income. Interest from corporate debt instruments2013-12-31$0
Value of interest in common/collective trusts at end of year2013-12-31$684,234
Value of interest in common/collective trusts at beginning of year2013-12-31$347,208
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2013-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2013-12-31$5,524
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2013-12-31$11,654
Expenses. Payments to insurance carriers foe the provision of benefits2013-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2013-12-31$-12,630
Net investment gain/loss from pooled separate accounts2013-12-31$1,563,983
Net investment gain or loss from common/collective trusts2013-12-31$214
Net gain/loss from 103.12 investment entities2013-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2013-12-31No
Was there a failure to transmit to the plan any participant contributions2013-12-31Yes
Has the plan failed to provide any benefit when due under the plan2013-12-31No
Contributions received in cash from employer2013-12-31$397,080
Employer contributions (assets) at end of year2013-12-31$397,080
Employer contributions (assets) at beginning of year2013-12-31$0
Income. Dividends from preferred stock2013-12-31$0
Income. Dividends from common stock2013-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2013-12-31$466,501
Contract administrator fees2013-12-31$1,901
Liabilities. Value of benefit claims payable at beginning of year2013-12-31$0
Did the plan have assets held for investment2013-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2013-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2013-12-31No
Aggregate proceeds on sale of assets2013-12-31$0
Aggregate carrying amount (costs) on sale of assets2013-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2013-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2013-12-31Yes
Opinion of an independent qualified public accountant for this plan2013-12-31Disclaimer
Accountancy firm name2013-12-31MOSS ADAMS LLP
Accountancy firm EIN2013-12-31910189318
2012 : ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets2012-12-31$0
Unrealized appreciation/depreciation of other (non real estate) assets2012-12-31$0
Total unrealized appreciation/depreciation of assets2012-12-31$0
Total transfer of assets to this plan2012-12-31$0
Total transfer of assets from this plan2012-12-31$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)2012-12-31$0
Total income from all sources (including contributions)2012-12-31$1,885,109
Total loss/gain on sale of assets2012-12-31$0
Total of all expenses incurred2012-12-31$1,603,348
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others2012-12-31$1,600,311
Expenses. Certain deemed distributions of participant loans2012-12-31$0
Value of total corrective distributions2012-12-31$2,179
Total contributions o plan (from employers,participants, others, non cash contrinutions)2012-12-31$1,154,791
Value of total assets at end of year2012-12-31$6,153,885
Value of total assets at beginning of year2012-12-31$5,872,124
Total of administrative expenses incurred including professional, contract, advisory and management fees2012-12-31$858
Total income from rents2012-12-31$0
Total interest from all sources2012-12-31$3,296
Total dividends received (eg from common stock, registered investment company shares)2012-12-31$3,799
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year2012-12-31No
Total dividends received from registered investment company shares (eg mutual funds)2012-12-31$3,799
Administrative expenses professional fees incurred2012-12-31$0
Was this plan covered by a fidelity bond2012-12-31Yes
Value of fidelity bond cover2012-12-31$500,000
If this is an individual account plan, was there a blackout period2012-12-31No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities2012-12-31$0
Were there any nonexempt tranactions with any party-in-interest2012-12-31No
Amount of non-exempt transactions with any party-in-interest2012-12-31$0
Contributions received from participants2012-12-31$1,115,548
Participant contributions at end of year2012-12-31$90,455
Participant contributions at beginning of year2012-12-31$67,150
Participant contributions at end of year2012-12-31$0
Participant contributions at beginning of year2012-12-31$37,896
Income. Received or receivable in cash from other sources (including rollovers)2012-12-31$39,243
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)2012-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at end of year2012-12-31$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year2012-12-31$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year2012-12-31$0
Other income not declared elsewhere2012-12-31$262
Administrative expenses (other) incurred2012-12-31$0
Liabilities. Value of operating payables at beginning of year2012-12-31$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Value of net income/loss2012-12-31$281,761
Value of net assets at end of year (total assets less liabilities)2012-12-31$6,153,885
Value of net assets at beginning of year (total assets less liabilities)2012-12-31$5,872,124
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)2012-12-31No
Were any loans by the plan or fixed income obligations due to the plan in default2012-12-31No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year2012-12-31$0
Were any leases to which the plan was party in default or uncollectible2012-12-31No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year2012-12-31$0
Investment advisory and management fees2012-12-31$0
Value of interest in registered invesment companies (eg mutual funds) at end of year2012-12-31$298,181
Value of interest in registered invesment companies (eg mutual funds) at beginning of year2012-12-31$209,650
Value of interest in pooled separate accounts at end of year2012-12-31$5,406,387
Value of interest in pooled separate accounts at beginning of year2012-12-31$5,076,225
Interest on participant loans2012-12-31$2,485
Income. Interest from loans (other than to participants)2012-12-31$0
Interest earned on other investments2012-12-31$811
Income. Interest from US Government securities2012-12-31$0
Income. Interest from corporate debt instruments2012-12-31$0
Value of interest in common/collective trusts at end of year2012-12-31$347,208
Value of interest in common/collective trusts at beginning of year2012-12-31$405,155
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)2012-12-31$0
Value of funds held in insurance company general accounts (unallocated contracts) at end of year2012-12-31$11,654
Value of funds held in insurance company general accounts (unallocated contracts) at beginning of year2012-12-31$76,048
Expenses. Payments to insurance carriers foe the provision of benefits2012-12-31$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)2012-12-31$46,099
Net investment gain/loss from pooled separate accounts2012-12-31$672,937
Net investment gain or loss from common/collective trusts2012-12-31$3,925
Net gain/loss from 103.12 investment entities2012-12-31$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets2012-12-31No
Was there a failure to transmit to the plan any participant contributions2012-12-31Yes
Has the plan failed to provide any benefit when due under the plan2012-12-31No
Contributions received in cash from employer2012-12-31$0
Employer contributions (assets) at end of year2012-12-31$0
Employer contributions (assets) at beginning of year2012-12-31$0
Income. Dividends from preferred stock2012-12-31$0
Income. Dividends from common stock2012-12-31$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers2012-12-31$1,600,311
Contract administrator fees2012-12-31$858
Liabilities. Value of benefit claims payable at beginning of year2012-12-31$0
Did the plan have assets held for investment2012-12-31Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser2012-12-31No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC2012-12-31No
Aggregate proceeds on sale of assets2012-12-31$0
Aggregate carrying amount (costs) on sale of assets2012-12-31$0
Liabilities. Value of acquisition indebtedness at beginning of year2012-12-31$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)2012-12-31Yes
Opinion of an independent qualified public accountant for this plan2012-12-31Disclaimer
Accountancy firm name2012-12-31MOSS ADAMS
Accountancy firm EIN2012-12-31910189318

Form 5500 Responses for ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN

2022: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2022 form 5500 responses
2022-01-01Type of plan entitySingle employer plan
2022-01-01This submission is the final filingNo
2022-01-01This return/report is a short plan year return/report (less than 12 months)No
2022-01-01Plan is a collectively bargained planNo
2022-01-01Plan funding arrangement – InsuranceYes
2022-01-01Plan funding arrangement – TrustYes
2022-01-01Plan benefit arrangement – InsuranceYes
2022-01-01Plan benefit arrangement - TrustYes
2021: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2021 form 5500 responses
2021-01-01Type of plan entitySingle employer plan
2021-01-01This submission is the final filingNo
2021-01-01This return/report is a short plan year return/report (less than 12 months)No
2021-01-01Plan is a collectively bargained planNo
2021-01-01Plan funding arrangement – InsuranceYes
2021-01-01Plan funding arrangement – TrustYes
2021-01-01Plan benefit arrangement – InsuranceYes
2021-01-01Plan benefit arrangement - TrustYes
2020: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2020 form 5500 responses
2020-01-01Type of plan entitySingle employer plan
2020-01-01Submission has been amendedYes
2020-01-01This submission is the final filingNo
2020-01-01This return/report is a short plan year return/report (less than 12 months)No
2020-01-01Plan is a collectively bargained planNo
2020-01-01Plan funding arrangement – InsuranceYes
2020-01-01Plan funding arrangement – TrustYes
2020-01-01Plan benefit arrangement – InsuranceYes
2020-01-01Plan benefit arrangement - TrustYes
2019: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2019 form 5500 responses
2019-01-01Type of plan entitySingle employer plan
2019-01-01This submission is the final filingNo
2019-01-01This return/report is a short plan year return/report (less than 12 months)No
2019-01-01Plan is a collectively bargained planNo
2019-01-01Plan funding arrangement – InsuranceYes
2019-01-01Plan funding arrangement – TrustYes
2019-01-01Plan benefit arrangement – InsuranceYes
2019-01-01Plan benefit arrangement - TrustYes
2018: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2018 form 5500 responses
2018-01-01Type of plan entitySingle employer plan
2018-01-01This submission is the final filingNo
2018-01-01This return/report is a short plan year return/report (less than 12 months)No
2018-01-01Plan is a collectively bargained planNo
2018-01-01Plan funding arrangement – InsuranceYes
2018-01-01Plan funding arrangement – TrustYes
2018-01-01Plan benefit arrangement – InsuranceYes
2018-01-01Plan benefit arrangement - TrustYes
2017: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2017 form 5500 responses
2017-01-01Type of plan entitySingle employer plan
2017-01-01This submission is the final filingNo
2017-01-01This return/report is a short plan year return/report (less than 12 months)No
2017-01-01Plan is a collectively bargained planNo
2017-01-01Plan funding arrangement – InsuranceYes
2017-01-01Plan funding arrangement – TrustYes
2017-01-01Plan benefit arrangement – InsuranceYes
2017-01-01Plan benefit arrangement - TrustYes
2016: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2016 form 5500 responses
2016-01-01Type of plan entitySingle employer plan
2016-01-01This submission is the final filingNo
2016-01-01This return/report is a short plan year return/report (less than 12 months)No
2016-01-01Plan is a collectively bargained planNo
2016-01-01Plan funding arrangement – InsuranceYes
2016-01-01Plan funding arrangement – TrustYes
2016-01-01Plan benefit arrangement – InsuranceYes
2016-01-01Plan benefit arrangement - TrustYes
2015: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2015 form 5500 responses
2015-01-01Type of plan entitySingle employer plan
2015-01-01This submission is the final filingNo
2015-01-01This return/report is a short plan year return/report (less than 12 months)No
2015-01-01Plan is a collectively bargained planNo
2015-01-01Plan funding arrangement – InsuranceYes
2015-01-01Plan funding arrangement – TrustYes
2015-01-01Plan benefit arrangement – InsuranceYes
2015-01-01Plan benefit arrangement - TrustYes
2014: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2014 form 5500 responses
2014-01-01Type of plan entitySingle employer plan
2014-01-01This submission is the final filingNo
2014-01-01This return/report is a short plan year return/report (less than 12 months)No
2014-01-01Plan is a collectively bargained planNo
2014-01-01Plan funding arrangement – InsuranceYes
2014-01-01Plan funding arrangement – TrustYes
2014-01-01Plan benefit arrangement – InsuranceYes
2014-01-01Plan benefit arrangement - TrustYes
2013: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2013 form 5500 responses
2013-01-01Type of plan entitySingle employer plan
2013-01-01This submission is the final filingNo
2013-01-01This return/report is a short plan year return/report (less than 12 months)No
2013-01-01Plan is a collectively bargained planNo
2013-01-01Plan funding arrangement – InsuranceYes
2013-01-01Plan funding arrangement – TrustYes
2013-01-01Plan benefit arrangement – InsuranceYes
2013-01-01Plan benefit arrangement - TrustYes
2012: ASSERTIO MANAGEMENT, LLC 401(K) RETIREMENT PLAN 2012 form 5500 responses
2012-01-01Type of plan entitySingle employer plan
2012-01-01This submission is the final filingNo
2012-01-01This return/report is a short plan year return/report (less than 12 months)No
2012-01-01Plan is a collectively bargained planNo
2012-01-01Plan funding arrangement – InsuranceYes
2012-01-01Plan funding arrangement – TrustYes
2012-01-01Plan benefit arrangement – InsuranceYes
2012-01-01Plan benefit arrangement - TrustYes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number420093
Policy instance 1
Insurance contract or identification number420093
Number of Individuals Covered250
Insurance policy start date2022-01-01
Insurance policy end date2022-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number420093
Policy instance 1
Insurance contract or identification number420093
Number of Individuals Covered263
Insurance policy start date2021-01-01
Insurance policy end date2021-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number420093
Policy instance 1
Insurance contract or identification number420093
Number of Individuals Covered344
Insurance policy start date2020-01-01
Insurance policy end date2020-12-31
Total amount of commissions paid to insurance brokerUSD $0
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or guaranteed investment?Yes
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?No
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number420093
Policy instance 1
Insurance contract or identification number420093
Number of Individuals Covered320
Insurance policy start date2019-01-01
Insurance policy end date2019-12-31
Total amount of commissions paid to insurance brokerUSD $5,425
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or 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 BrokerUSD $5,425
Amount paid for insurance broker fees0
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number420093
Policy instance 1
Insurance contract or identification number420093
Number of Individuals Covered361
Insurance policy start date2018-01-01
Insurance policy end date2018-12-31
Total amount of commissions paid to insurance brokerUSD $31,270
Total amount of fees paid to insurance companyUSD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or 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 BrokerUSD $24,649
Amount paid for insurance broker fees0
Insurance broker organization code?3
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number420093
Policy instance 1
Insurance contract or identification number420093
Number of Individuals Covered575
Insurance policy start date2017-01-01
Insurance policy end date2017-12-31
Total amount of commissions paid to insurance brokerUSD $29,660
Total amount of fees paid to insurance companyUSD $12,030
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or 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 BrokerUSD $29,660
Amount paid for insurance broker fees12030
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE AND PRORATED INCENTIVE, NOT DEDUCTED FROM PLAN
Insurance broker organization code?3
Insurance broker nameSAGEPOINT FINANCIAL INC
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number420093
Policy instance 1
Insurance contract or identification number420093
Number of Individuals Covered528
Insurance policy start date2015-01-01
Insurance policy end date2015-12-31
Total amount of commissions paid to insurance brokerUSD $12,733
Total amount of fees paid to insurance companyUSD $2,097
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or 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 BrokerUSD $12,131
Amount paid for insurance broker fees2097
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
Insurance broker nameJHW FINANCIAL SERVICES INC
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number420093
Policy instance 1
Insurance contract or identification number420093
Number of Individuals Covered363
Insurance policy start date2014-01-01
Insurance policy end date2014-12-31
Total amount of commissions paid to insurance brokerUSD $10,204
Total amount of fees paid to insurance companyUSD $2,081
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or 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 BrokerUSD $10,204
Amount paid for insurance broker fees2081
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
Insurance broker nameJHW FINANCIAL SERVICES INC
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number420093
Policy instance 1
Insurance contract or identification number420093
Number of Individuals Covered326
Insurance policy start date2013-01-01
Insurance policy end date2013-12-31
Total amount of commissions paid to insurance brokerUSD $7,057
Total amount of fees paid to insurance companyUSD $1,320
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or 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 BrokerUSD $7,057
Amount paid for insurance broker fees1287
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
Insurance broker nameFINANCIAL TELESIS INC
PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )
Policy contract number420093
Policy instance 1
Insurance contract or identification number420093
Number of Individuals Covered290
Insurance policy start date2012-01-01
Insurance policy end date2012-12-31
Total amount of commissions paid to insurance brokerUSD $8,578
Total amount of fees paid to insurance companyUSD $1,012
Contract purchased, in whole or in part, to distribute benefits from a terminating planNo
Are there contracts with unallocated funds for contract types other than deposit administration, immediate participation guarantee or 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 BrokerUSD $8,578
Amount paid for insurance broker fees1012
Additional information about fees paid to insurance brokerREFERRAL/SERVICE FEE
Insurance broker organization code?3
Insurance broker nameJHW FINANCIAL SERVICES INC

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